Chief Compliance Officer · Shaker Investments
Kathleen C. Wick
CRD 7716305 · Named on Form ADV at one SEC-registered adviser
At a glance
Shaker Investments, an SEC-registered wealth manager based in Beachwood, OH with $259 million in regulatory assets, lists Kathleen C. Wick on its Form ADV as Chief Compliance Officer.
Firms and roles
- Shaker InvestmentsChief Compliance OfficerWealth manager · Beachwood, OH · $259M in regulatory assets
AtlasMembers
Kathleen’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
- Locked
- Control-person status
- Locked
- 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
- Edward P. HemmelgarnPresident, Director & Member, Shaker Investments
- Raymond J. RundManaging Director, Senior Research Analyst, Shaker Investments
- Janice L. HammondSecretary of Shaker Investments LLC, Shaker Investments
- Chris G. HemmelgarnPortfolio Manager, Shaker Investments
- Brandon A HemmelgarnCo-Cio, Shaker Investments
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Kathleen’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.