Chief Compliance Officer / Chief Operating Officer · Wynnefield Capital, Inc.
W. Alex Liu
CRD 5284656 · Named on Form ADV at one SEC-registered adviser
At a glance
Wynnefield Capital, Inc., an SEC-registered private fund adviser based in New York, NY with $185 million in regulatory assets, lists W. Alex Liu on its Form ADV as Chief Compliance Officer / Chief Operating Officer, a control person.
Firms and roles
- Wynnefield Capital, Inc.Chief Compliance Officer / Chief Operating OfficerPrivate fund adviser · New York, NY · $185M in regulatory assets
AtlasMembers
W.’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
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- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings
- Nelson J. ObusPresident, Wynnefield Capital, Inc.
- Joshua H. LandesExecutive Vice President / Secretary / Treasurer, Wynnefield Capital, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For W.’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.