CEO · Spring Lake Asset Management, Inc.
Thomas B. Caldwell
CRD 1071301 · Named on Form ADV at one SEC-registered adviser
At a glance
Spring Lake Asset Management, Inc., an SEC-registered private fund adviser with $1.5 billion in regulatory assets, lists Thomas B. Caldwell on its Form ADV as CEO, a control person.
Firms and roles
- Spring Lake Asset Management, Inc.CEOPrivate fund adviser · United States · $1.5B in regulatory assets
AtlasMembers
Thomas’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
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Christopher W. CrosbyPresident, Spring Lake Asset Management, Inc.
- Kaitlin M. BriscoePortfolio Manager, Spring Lake Asset Management, Inc.
- David E. ThomasChief Operating Officer/chief Compliance Officer, Spring Lake Asset Management, Inc.
- Michael D. BrodskyPortfolio Manager, Spring Lake Asset Management, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Thomas’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.