Chief Compliance Officer · Taylor Frigon Capital Management LLC
Douglas E. Connolly
CRD 4219721 · Named on Form ADV at 2 SEC-registered advisers
At a glance
Taylor Frigon Capital Management LLC, an SEC-registered private fund adviser based in Scottsdale, AZ with $233 million in regulatory assets, lists Douglas E. Connolly on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Douglas at 1 other registered adviser.
Firms and roles
- Taylor Frigon Capital Management LLCChief Compliance OfficerPrivate fund adviser · Scottsdale, AZ · $233M in regulatory assets
- Taylor Frigon Family Office, LLCChief Compliance OfficerWealth manager · Scottsdale, AZ · $20M in regulatory assets
AtlasMembers
Douglas’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
- 2 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.
SEC adviser record
- Registered since
- 2013 (13 years)
- Designations
- None on file
- Exams
- Series 63, Series 66
- Registered in
- 1 state
- Also a broker representative
- No
- Disclosures on record
- None
AtlasMembers
Douglas’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 4 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- 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
- Gerard J. FrigonManaging Member / Chief Investment Officer, Taylor Frigon Capital Management LLC
- Karen T. FrigonChief Operations Officer / Member, Taylor Frigon Capital Management LLC
- Michael G. FrigonDirector of Business Development/Director of Research, Taylor Frigon Family Office, LLC
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Douglas’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.