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Chief Legal Officer & Chief Compliance Officer · Capital Markets IQ, LLC

Penelope Y Turnbow

CRD 5644575 · Named on Form ADV at one SEC-registered adviser

At a glance

Capital Markets IQ, LLC, an SEC-registered wealth manager with $571 million in regulatory assets, lists Penelope Y Turnbow on its Form ADV as Chief Legal Officer & Chief Compliance Officer, a control person.

Firms and roles

  • Capital Markets IQ, LLCChief Legal Officer & Chief Compliance OfficerWealth manager · United States · $571M in regulatory assets

AtlasMembers

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