Chief Compliance Officer · Pembrook Capital Management LLC
Maxwell R. Baker
CRD 7426522 · Named on Form ADV at 3 SEC-registered advisers
At a glance
Pembrook Capital Management LLC, an SEC-registered private fund adviser based in New York, NY with $469 million in regulatory assets, lists Maxwell R. Baker on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Maxwell at 2 other registered advisers.
Firms and roles
- Pembrook Capital Management LLCChief Compliance OfficerPrivate fund adviser · New York, NY · $469M in regulatory assets
- Soundwatch Capital, LLCChief Compliance OfficerAsset manager · Dallas, TX · $1.0B in regulatory assets
- Sagepoint Capital Partners LLCChief Compliance OfficerWealth manager · Franklin, TN · $888M in regulatory assets
AtlasMembers
Maxwell’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 each firm
- 3 firmsLocked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Stuart J. BoeskyChief Executive Officer, Pembrook Capital Management LLC
- John K MalysaManaging Director, Pembrook Capital Management LLC
- Dimitris MarkopoulosManaging Member, Soundwatch Capital, LLC
- Winston F. JusticeChief Executive Officer, Sagepoint Capital Partners LLC
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Maxwell’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.