Chief Operating Officer / Chief Compliance Officer · Maple Capital Management, Inc.
Thomas W. Rawlings
CRD 5080094 · Named on Form ADV at one SEC-registered adviser
At a glance
Maple Capital Management, Inc., an SEC-registered wealth manager based in Montpelier, VT with $2.6 billion in regulatory assets, lists Thomas W. Rawlings on its Form ADV as Chief Operating Officer / Chief Compliance Officer, a control person.
Firms and roles
- Maple Capital Management, Inc.Chief Operating Officer / Chief Compliance OfficerWealth manager · Montpelier, VT · $2.6B 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
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- Search and export owners by title, state and firm size
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Colleagues named on the same filings
- Ramsey A LuhrPresident / Shareholder, Maple Capital Management, Inc.
- Elizabeth S. LewisPortfolio Management Team Lead / Shareholder, Maple Capital Management, Inc.
- Hilary T. RoperResearch Analyst / Shareholder, Maple Capital Management, Inc.
- Courtright T. BeardOperations Manager / Shareholder, Maple Capital Management, Inc.
- Richard J. LitchfieldSR. VP & Fixed Income Portfolio Manager, Maple Capital 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.