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One North Wacker Drive Suite 3500, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-08-07 |
Branch Locations
One North Wacker Drive Suite 3500, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Aviva Investors Americas, Llc | Chicago | IL | 09/2015 | 04/2018 |
| Foreside Fund Services, Llc | Chicago | IL | 05/2016 | 04/2018 |
| Thl Credit Senior Loan Strategies, Llc | Chicago | IL | 04/2018 | 07/2019 |
| Alaric Compliance Services, Llc | New York | NY | 07/2019 | 12/2021 |
| Icv Group, Inc. | New York | NY | 12/2019 | 05/2021 |
| Alaric Distributors, Llc | New York | NY | 01/2020 | 01/2022 |
| Curi Capital, Llc | Chicago | IL | 10/2022 | Present |
| Foreside Fund Services, Llc | Chicago | IL | 04/2023 | Present |
| Foreside Financial Group, Llc | New York | NY | 12/2021 | 10/2022 |
Curi Capital, LLC; Investment Related; Chicago, IL; Registered Investment Adviser; Chief Compliance Officer & Chief Risk Officer; Start Date 10/19/2022; 160 Hrs Per Month; Responsible for compliance and risk management activities, for the investment adviser, Curi Capital and its affiliated fund family, the RMB Investors Trust.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-02-10 |
| S66 | Uniform Combined State Law Examination | 2000-05-05 |
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