Chief Compliance Officer · Alpine Saxon Woods
Brian D. Robling
CRD 3278351 · Named on Form ADV at 3 SEC-registered advisers
At a glance
Alpine Saxon Woods, an SEC-registered asset manager based in Purchase, NY with $670 million in regulatory assets, lists Brian D. Robling on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Brian at 2 other registered advisers.
Firms and roles
- Alpine Saxon WoodsChief Compliance OfficerAsset manager · Purchase, NY · $670M in regulatory assets
- Dragon Capital Management (HK) LimitedChief Compliance OfficerPrivate fund adviser · Central, Hong Kong · $168M in regulatory assets
- Alpine Woods Capital Investors, LLCChief Compliance OfficerPrivate fund adviser · Purchase, NY · $181M in regulatory assets
AtlasMembers
Brian’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 each firm
- 3 firmsLocked
- Control-person status
- 2 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (8)
- Arleen M. BaezChief Operations Officer, Alpine Saxon Woods
- Mark T. SpellmanChief Executive Officer, Alpine Saxon Woods
- Sarah M. HuntChief Market Strategist, Alpine Saxon Woods
- Brian S. HennesseyChief Investment Officer, Alpine Saxon Woods
- Beat SchuerchResponsible Officer, Dragon Capital Management (HK) Limited
3 more people named with Brian on the same filings, with titles and firms. Free in Atlas with a free account.
See all 8 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Brian’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.