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30 Old Kings Highway South, Darien, CT 06820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2017-08-29 |
Branch Locations
30 Old Kings Highway South, Darien, CT 06820 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rock Elm Capital Management Llc | Darien | CT | 01/2016 | Present |
Name & Address of Business Behre Dolbear Group Inc. 4255 S. Buckley Road, #425 Aurora, CO 80013 Investment Related? - No Nature of Business - Technical advisory services to the mining industry. Position, Title, Relationship - Principal, 14% owner, private company. Hours per Month - 0 hours - No current duties. Start Date - 06/01/2009 Name & Address of Business Bacchus Capital Advisors Ltd 6 Adam St London, WC2N 6AD, U.K. 44 20 3848 1640 Investment Related? - Yes Nature of Business - Strategic advisory services to the minerals industries. Position, Title, Relationship - Member of the Advisory Board Hours per Month - 10 hours/month No set duties, general collaborative communication via email and phone. Start Date - 02/01/2017 Name & Address of Business Pivot Industries Ltd 6424 Willow Broom Trail Littleton, CO 80125 Investment Related? - No Nature of Business - Technology firm, SaaS platform for collaborative data and communications management. Position, Title, Relationship - Member of the Advisory Board. Hours per Month - 5 hours/month. No set duties, general collaborative communication via email and phone. Start Date - 01/01/2018
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-08-29 |
| S63 | Uniform Securities Agent State Law Examination | 2004-12-30 |
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