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Chief Compliance Officer, Senior Vice President and Deputy General Counsel · Horizon Kinetics Asset Management LLC

Russell W. Grimaldi

CRD 5210776 · Named on Form ADV at one SEC-registered adviser

At a glance

Horizon Kinetics Asset Management LLC, an SEC-registered asset manager based in New York, NY with $9.6 billion in regulatory assets, lists Russell W. Grimaldi on its Form ADV as Chief Compliance Officer, Senior Vice President and Deputy General Counsel, a control person.

Firms and roles

AtlasMembers

Russell’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
1 firmLocked
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

  • Steven BregmanCo-Chief Executive Officer, Horizon Kinetics Asset Management LLC
  • Peter B. DoyleCo-Chief Executive Officer, Horizon Kinetics Asset Management LLC
  • Jay H. KesslenGeneral Counsel, Managing Director, Elected Manager and Secretary, Horizon Kinetics Asset Management LLC
  • Alun L WilliamsChief Operating Officer, Managing Director, Elected Manager and Assistant Secretary, Horizon Kinetics Asset Management LLC
  • Mark A. HerndonChief Financial Officer, Horizon Kinetics Asset Management LLC

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