Catriona Duncan

SANKOTA CAPITAL LLC

CHICAGO, IL 60607

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CRD#: 6417666

Professional summary

Catriona Duncan CFA, who also goes by Catriona C Duncan, Catriona Duncan, Catriona C Duncan, Catriona Campbell Duncan, is a registered financial advisor currently at SANKOTA CAPITAL LLC located in Chicago, Illinois.

Catriona is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Catriona has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Catriona C Duncan | Catriona Duncan | Catriona C Duncan | Catriona Campbell Duncan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I am the CIO/Treasurer of the Judy Family Foundation (Nov-23 to present), which is located at 14 Country Lane, Northfield, IL 60093. In this role, I am primarily focused on long-term asset allocation decisions and the evaluation of private investments. I have no discretion over the marketable securities portfolio, which is run by an independent investment advisor. I spend no more than 10 hours every quarter on these duties and the work is conducted outside of business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catriona Duncan CFA's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 20, 2024 - Present

SANKOTA CAPITAL LLC

Office #1: 1550 West Carroll Avenue Unit 211-d, Chicago, IL 60607

RIA

CRD#: 333468

CHICAGO, IL

Past

November 1, 2016 - March 8, 2018

ADVISORY RESEARCH INC

RIA

CRD#: 108254

CHICAGO, IL

Past

March 20, 2015 - October 24, 2016

CUPPS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 109865

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(11/20/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/20/2015

Uniform Investment Adviser Law Examination

Current Firm

SANKOTA CAPITAL LLC

CRD#: 333468 / SEC#: 801-131440

RIA

Registered Investment Advisory firm - (2/7/2025 Terminated)

Illinois

Registered Investment Advisory firm - (2/5/2025 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1550 West Carroll Avenue Unit 211-d, Chicago, IL 60607

Mailing Address

Phone number

(312) 392-2222

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 22,184,298

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Catriona Duncan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catriona Duncan CFA's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANKOTA CAPITAL LLC

ADVISORY RESEARCH INC

CUPPS CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/20/2015

Current Firm

SANKOTA CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SANKOTA CAPITAL LLC

TRUST BUT VERIFY

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