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FIRM PROFILE
Overview
SUMO CAPITAL, LLC is located at 425 S. Financial Place 15th Floor, Chicago, IL 60605 and was first established at Chicago, Illinois in 01/10/2008. After operating for 18 years, SUMO CAPITAL, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of SUMO CAPITAL, LLC’s clients are individuals and 0% of their clients are high net worth individuals. SUMO CAPITAL, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at SUMO CAPITAL, LLC are registered to handle securities or provide financial advice. The firm has 22 disclosures, 22 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access SUMO CAPITAL, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at SUMO CAPITAL, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for SUMO CAPITAL, LLC Comes From
Understanding the Statistics for SUMO CAPITAL, LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
425 S. Financial Place 15th Floor, Chicago, IL 60605
425 S. Financial Place 15th Floor, Chicago, IL 60605
Small
(312) 241-1622
Illinois since 01/10/2008
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| SUMO PARTNERS LLC | MEMBER OF SUMO CAPITAL, LLC | ||
| D'ANNA, WILLIAM ANTHONY | PRINCIPAL OPERATIONS OFFICER | 4744170 | |
| D'ANNA, WILLIAM ANTHONY | FINOP | 4744170 | |
| D'ANNA, WILLIAM ANTHONY | PRINCIPAL FINANCIAL OFFICER | 4744170 | |
| GUTMAN, DANIEL | PRINCIPAL AND COO | 2903640 | |
| ROWAN, KATHLEEN ANNE | CCO | 3180771 | |
| TRAVIS, TERRENCE PATRICK | CONSULTANT - RISK MANAGER | 1545662 |
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Advisor's working at SUMO CAPITAL, LLC
Terrence Patrick Travis
Stephane Olivier Chevillon
Bennett Ross Halperin
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