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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2001-05-31 |
| TX | RA | APPROVED_RES | 1993-06-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lexington | KY | 05/1991 | Present |
| Bank Of America, Na | Lexington | KY | 04/2010 | Present |
I*136407For profit or not for profit: For-Profit OrganizationName of outside business organization: Columbia Capital XIV LLCInvestment related: YAddress of business:Charlotte, North Carolina 28207Nature of business: LLC,Position, title, association: Limited Partner, Start date of relationship: 3/8/2021Number of hours devoted: 1 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: LLC to buy into Tiger PIP XIV which is the underlying investmentI*116779For profit or not for profit: For-Profit OrganizationName of outside business organization: MMM Capital Partners LLCInvestment related: YAddress of business:Charlotte, North Carolina 28207Nature of business: LLC,Position, title, association: Limited Partner, Start date of relationship: 8/20/2018Number of hours devoted: 1 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: LLC Formed with 3 ML FAs.I*117838For profit or not for profit: For-Profit OrganizationName of outside business organization: Columbia Capital XI LLCInvestment related: YAddress of business:Charlotte, North Carolina 28207Nature of business: LLC,Position, title, association: Limited Partner, Start date of relationship: 10/15/2018Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: this will be a company to invest in TIGER XI private equity fundI*129220For profit or not for profit: For-Profit OrganizationName of outside business organization: Columbia Capital XII LLCInvestment related: YAddress of business:Charlotte, North Carolina 28207Nature of business: LLC,Position, title, association: Limited Partner, NAStart date of relationship: 1/24/2020Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: this will be a company to invest in Tiger Global PIP XII I*1351300For profit or not for profit: Name of outside business organization: One FAInvestment related: NAddress of business: Lexington, Kentucky, 40502, United StatesNature of business: ["Business or Industry Organization"]Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 6/1/2020Number of hours devoted: 1 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: , Asset protection I*2669326, Entity Type: Fiduciary role Name of OBA: LCEM , Address: Lexington, Kentucky, 40502, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 07/30/2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties: POA/ Child/Grandchild I*4209266 Entity Type: For Profit Name of OBA: Columbia Capital XVII LLC Address: Columbia, SC 29206 Investment Related: No Position, Title, Association: Other Employee Start Date: 02/26/2026 Number of Hours: 1, Yearly Number of Hours during trading: 0 Duties: This is an LLC to invest in the underlying VC firm Tiger Global XVII, which we have done in the past as well. Nothing else will go into this and just a pass through entity passive investor
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-28 |
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