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390 Park Street Suite 250, Birmingham, MI 48009 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2025-12-17 |
Branch Locations
390 Park Street Suite 250, Birmingham, MI 48009 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Eaton Vance Management | Boston | MA | 05/2016 | 07/2022 |
| Eaton Vance Distributors, Inc. | Boston | MA | 05/2016 | 07/2022 |
| Foreside Fund Services, Llc | Birmingham | MI | 08/2022 | Present |
| Rock Harbor Llc | Birmingham | MI | 08/2022 | Present |
| Rock Harbor Capital Llc | Birmingham | MI | 08/2023 | Present |
1) Rock Harbor, LLC; Birmingham, MI; Investment Related - Yes; Started 08/01/2022; Investment product distribution (MF, ETF); COO/Head Of Distribution; Manage existing asset manager relationships Manage internal and external wholesalers Sales to approved intermediaries; 160 hours per month with 0 hours during securities trading hours. In addition to being an Investment Advisor Representative of Rock Harbor, LLC, this associate is a Registered Representative of FORESIDE FUND SERVICES, LLC, an unaffiliated Broker Dealer. The associate is a Registered Representative for purposes of FORESIDE FUND SERVICES, LLC,. 3) Rock Harbor Capital, LLC; Investment Related; Birmingham, MI; Market Separately Managed Accounts; Investment Advisor Representative; Start Date 8/2023, 40 hours per month; Market and distribute separately managed accounts 4) BD Wolf, LLC; Not Investment Related; LLC for Commission paid by Rock Harbor; Grosse Pointe Park, MI; 3/15/2024; Owner; LLC for commissions paid out by Foreside; 5Hrs/Mo.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-11-14 |
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