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Chief Compliance Officer · Nasdaq Dorsey Wright

Lisa P. Johnson

CRD 4168397 · Named on Form ADV at one SEC-registered adviser

At a glance

Nasdaq Dorsey Wright, an SEC-registered asset manager based in Richmond, VA with $1.0 billion in regulatory assets, lists Lisa P. Johnson on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

  • Nasdaq Dorsey WrightChief Compliance OfficerAsset manager · Richmond, VA · $1.0B in regulatory assets

AtlasMembers

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

Colleagues named on the same filings

  • John G. LewisSenior Vice President, Dorsey Wright & Associates, LLC, Nasdaq Dorsey Wright
  • Emily E. SpurlingSenior Vice President, Nasdaq, Nasdaq Dorsey Wright

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