Chief Compliance Officer · Hammond, Kennedy, Whitney & Company, Inc.
Monika N. Gupta
CRD 5512808 · Named on Form ADV at 2 SEC-registered advisers
At a glance
Hammond, Kennedy, Whitney & Company, Inc., an SEC-registered private fund adviser with $631 million in regulatory assets, lists Monika N. Gupta on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Monika at 1 other registered adviser.
Firms and roles
- Hammond, Kennedy, Whitney & Company, Inc.Chief Compliance OfficerPrivate fund adviser · United States · $631M in regulatory assets
- HKW Management, LLCChief Compliance OfficerPrivate fund adviser · United States · $42M in regulatory assets
AtlasMembers
Monika’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
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
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Colleagues named on the same filings (6)
- Michael A. FoisyPresident, Partner, Hammond, Kennedy, Whitney & Company, Inc.
- Ted H KramerCEO, Partner, Hammond, Kennedy, Whitney & Company, Inc.
- James C. SnyderPartner, Hammond, Kennedy, Whitney & Company, Inc.
- Kent W. RobinsonPartner, Hammond, Kennedy, Whitney & Company, Inc.
- Devraj N. RoyMember, Partner, HKW Management, LLC
1 more person named with Monika on the same filings, with titles and firms. Free in Atlas with a free account.
See all 6 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Monika’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.