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Chief Compliance Officer · 3a Capital, LLC

Stacey J. Gillespie

CRD 3137874 · Named on Form ADV at 2 SEC-registered advisers

At a glance

3a Capital, LLC, an SEC-registered asset manager based in New York, NY with $0 in regulatory assets, lists Stacey J. Gillespie on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Stacey at 1 other registered adviser.

Firms and roles

  • 3a Capital, LLCChief Compliance OfficerAsset manager · New York, NY · $0M in regulatory assets
  • Avestar Capital, LLCChief Compliance OfficerWealth manager · New York, NY · $2.1B in regulatory assets

AtlasMembers

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