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Chief Compliance Officer · Cohen & Company Financial Management, LLC

Katharine E. Vacca

CRD 1821586 · Named on Form ADV at one SEC-registered adviser

At a glance

Cohen & Company Financial Management, LLC, an SEC-registered private fund adviser based in New York, NY with $237 million in regulatory assets, lists Katharine E. Vacca on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

AtlasMembers

Katharine’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
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

  • Joseph W. PoolerChief Financial Officer, Cohen & Company Financial Management, LLC
  • Andrew K. DavilmanChief Operating Officer, Chief Investment Officer, Cohen & Company Financial Management, LLC
  • Dennis J. CrillyGeneral Counsel & Secretary, Senior Vice President, Cohen & Company Financial 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 Katharine’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.