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Chief Risk Officer and Chief Compliance Officer · Prime Quadrant

Mark H. Roth

CRD 5035969 · Named on Form ADV at one SEC-registered adviser

At a glance

Prime Quadrant, an SEC-registered wealth manager based in Toronto, Canada with $849 million in regulatory assets, lists Mark H. Roth on its Form ADV as Chief Risk Officer and Chief Compliance Officer, a control person.

Firms and roles

  • Prime QuadrantChief Risk Officer and Chief Compliance OfficerWealth manager · Toronto, Canada · $849M in regulatory assets

AtlasMembers

Mark’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 Mark’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.