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Chief Compliance Officer/cco · KKM Financial LLC

Richard S. Dooley

CRD 5879453 · Named on Form ADV at 2 SEC-registered advisers

At a glance

KKM Financial LLC, an SEC-registered asset manager based in Chicago, IL with $866 million in regulatory assets, lists Richard S. Dooley on its Form ADV as Chief Compliance Officer/cco, a control person. The SEC filings also name Richard at 1 other registered adviser.

Firms and roles

  • KKM Financial LLCChief Compliance Officer/ccoAsset manager · Chicago, IL · $866M in regulatory assets
  • Savoie Capital LLCChief Compliance OfficerWealth manager · Chicago, IL · $1.3B in regulatory assets

AtlasMembers

Richard’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
1 firmLocked
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

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