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General Counsel and Chief Compliance Officer · Advent Capital Management, LLC

Stephen C. Ellwood

CRD 2966159 · Named on Form ADV at one SEC-registered adviser

At a glance

Advent Capital Management, LLC, an SEC-registered asset manager based in New York, NY with $8.8 billion in regulatory assets, lists Stephen C. Ellwood on its Form ADV as General Counsel and Chief Compliance Officer, a control person.

Firms and roles

AtlasMembers

Stephen’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

  • Tracy V. MaitlandManaging Member/chief Executive Officer, Advent Capital Management, LLC
  • Robert J. WhiteChief Financial Officer & Chief Operating Officer, Advent Capital 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 Stephen’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.