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Principal & Chief Compliance Officer · Tone Capital, LLC

James J. Shannon

CRD 4521578 · Named on Form ADV at one SEC-registered adviser

At a glance

Tone Capital, LLC, an SEC-registered wealth manager based in Richmond, VA with $118 million in regulatory assets, lists James J. Shannon on its Form ADV as Principal & Chief Compliance Officer, a control person.

Firms and roles

  • Tone Capital, LLCPrincipal & Chief Compliance OfficerWealth manager · Richmond, VA · $118M 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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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.