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Chief Compliance Officer · Tappalpha

Sothara Chin

CRD 2063804 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Tappalpha, an SEC-registered asset manager with $386 million in regulatory assets, lists Sothara Chin on its Form ADV as Chief Compliance Officer. The SEC filings also name Sothara at 1 other registered adviser.

Firms and roles

AtlasMembers

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