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CRD#: 17009
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FIRM PROFILE
Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information
Where the Statistical Data for GRACE BROTHERS LTD. Comes From
Understanding the Statistics for GRACE BROTHERS LTD. and How They Compare to Other Firms Through Our Analysis
Average Account Value
Individuals
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HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
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Individuals
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HNWI
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MISC
No Information
Employees
Total
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Registered
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Client Ratios
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Clients
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Individuals
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HNWI
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Firm Disclosures
Regulatory Event
3
FIRM INFORMATION
Established
Illinois since 10/01/1985
Firm Type
Partnership
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| VAN KAMPEN ASSET MANAGEMENT COMPANY, L.L.C. F/K/A VAN KAMPEN ENTERPRISES | LTD. PARTNER | ||
| JUDITH M. VAN KAMPEN TRUST | LTD. PARTNER | ||
| VKP GRANTORS TRUST | LTD. PARTNER | ||
| VKW GRANTORS TRUST | LTD. PARTNER | ||
| WHITMORE, BRADFORD TODD | GENERAL PARTNER | 1336645 | |
| ALLEN, DAVID JOHN | LTD. PARTNER | 714108 | |
| ALLEN, DAVID JOHN | TRUSTEE OF JUDITH M. VAN KAMPEN TRUST | 714108 | |
| CROFT, FREDERICK TITUS | LTD. PARTNER | 861905 | |
| PIERRE, SCOTT RAYMOND | TRUSTEE OF VKP GRANTORS TRUST | ||
| SPURGEON CORPORATION | GENERAL PARTNER | ||
| TRANNEL, JERALD ARTHUR | LTD. PARTNER | 1082893 | |
| VANKAMPEN, JUDITH MARLEE | TRUSTEE OF JUDITH M. VAN KAMPEN TRUST | ||
| VANKAMPENPIERRE, KARLA MARLEE | TRUSTEE OF VKP GRANTORS TRUST | ||
| VANKAMPENPIERRE, KARLA MARLEE | TRUSTEE OF JUDITH M. VAN KAMPEN TRUST | ||
| WISEN, DAVID GEORGE | TRUSTEE OF VKW GRANTORS TRUST | ||
| WISEN, KRISTEN JOY | TRUSTEE OF VKW GRANTORS TRUST |
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Advisor's working at GRACE BROTHERS LTD.
Kendell Wesley Frye
IAR
CRD#: 7413418
Location:
Meridian, ID 83642
Company:
CLEAR CREEK FINANCIAL MANAGEMENT, LLC
Disclosures:
Experience:
4 years
WC
Walter Corea
IAR
RR
CRD#: 4027684
Location:
Woodside, NY
Company:
RBC CAPITAL MARKETS, LLC
Disclosures:
Experience:
25 years
Sean David Merlonghi
IAR
CRD#: 6146825
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