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Director/chief Compliance Officer · Aisa International

James L. Pearcy-Caldwell

CRD 6387568 · Named on Form ADV at one SEC-registered adviser

At a glance

Aisa International, an SEC-registered wealth manager based in Devizes, United Kingdom with $126 million in regulatory assets, lists James L. Pearcy-Caldwell on its Form ADV as Director/chief Compliance Officer, a control person.

Firms and roles

  • Aisa InternationalDirector/chief Compliance OfficerWealth manager · Devizes, United Kingdom · $126M in regulatory assets

AtlasMembers

James’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
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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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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

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