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General Counsel & Chief Compliance Officer · Star Mountain Fund Management, LLC

Austin S. Ericson

CRD 7658879 · Named on Form ADV at one SEC-registered adviser

At a glance

Star Mountain Fund Management, LLC, an SEC-registered broker-dealer firm based in New York, NY with $4.2 billion in regulatory assets, lists Austin S. Ericson on its Form ADV as General Counsel & Chief Compliance Officer, a control person.

Firms and roles

AtlasMembers

Austin’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
1 firmLocked
When each role began
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Each firm’s assets and growth
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Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Christopher J. GimbertChief Financial Officer, Star Mountain Fund Management, LLC
  • Brett A. HickeyManaging Member, Star Mountain Fund Management, LLC
  • Stephen B. ParasManaging Director & Chief Credit Officer, Star Mountain Fund Management, LLC
  • John W. PolisChief Operating Officer & Chief Technology Officer, Star Mountain Fund Management, LLC

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Austin’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.