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Chief Compliance Officer · Xponance LLC

Mildred O. Forbes

CRD 4519791 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Xponance LLC, an SEC-registered asset manager based in Philadelphia, PA with $24.3 billion in regulatory assets, lists Mildred O. Forbes on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Mildred at 1 other registered adviser.

Firms and roles

  • Xponance LLCChief Compliance OfficerAsset manager · Philadelphia, PA · $24B in regulatory assets
  • XaltsChief Compliance OfficerPrivate fund adviser · Philadelphia, PA · $92M in regulatory assets

AtlasMembers

Mildred’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
2 firmsLocked
Control-person status
2 firmsLocked
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 (9)

4 more people named with Mildred on the same filings, with titles and firms. Free in Atlas with a free account.

See all 9 free

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