Trustee · Asterozoa Management
Wendy K. Smith
CRD 7892496 · Named on Form ADV at one SEC-registered adviser
At a glance
Asterozoa Management, an SEC-registered asset manager based in Phoenix, AZ with $104 million in regulatory assets, lists Wendy K. Smith on its Form ADV as Trustee, a control person.
Firms and roles
- Asterozoa ManagementTrusteeAsset manager · Phoenix, AZ · $104M in regulatory assets
AtlasMembers
Wendy’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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Colleagues named on the same filings (6)
- Joseph L. HegenerManaging Member, Chief Investment Officer, Asterozoa Management
- KEVIN G. YINVice President, Asterozoa Management
- Paul J. HegenerChief Risk Officer, Asterozoa Management
- Julia AltuzarraVice President, Investor Relations & Account Management, Asterozoa Management
- John KaitesMember, Asterozoa Management
1 more person named with Wendy on the same filings, with titles and firms. Free in Atlas with a free account.
See all 6 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Wendy’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.