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Chief Compliance Officer · Cion Investment Management, LLC

Stephen Roman

CRD 6630227 · Named on Form ADV at 3 SEC-registered advisers

At a glance

Cion Investment Management, LLC, an SEC-registered asset manager based in New York, NY with $1.8 billion in regulatory assets, lists Stephen Roman on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Stephen at 2 other registered advisers.

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 each firm
3 firmsLocked
Control-person status
3 firmsLocked
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 (9)

4 more people named with Stephen on the same filings, with titles and firms. Free in Atlas with a free account.

See all 9 free

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.