Carol Elaine Rumsey
Chief Compliance OfficerAristotle Investment Services, LLCCRD 6607444
About Carol Elaine Rumsey
Carol Elaine Rumsey is listed as Chief Compliance Officer at Aristotle Investment Services, LLC in Newport Beach, CA. Form ADV reports a beneficial ownership band of Under 5%. Carol Elaine Rumsey is associated with 5 registered advisers.
Reported ownership
Owns Under 5% of Aristotle Investment Services, LLC
Ownership band reported on Form ADV Schedule A
Frequently asked questions
Where does Carol Elaine Rumsey work?
Carol Elaine Rumsey is listed as Chief Compliance Officer at Aristotle Investment Services, LLC on SEC Form ADV.
How much of Aristotle Investment Services, LLC does Carol Elaine Rumsey own?
Form ADV reports a beneficial ownership band of Under 5%.
Aristotle Investment Services, LLC
| Title | Chief Compliance Officer |
| Ownership | Under 5% |
| Control person | Yes |
| Since | 2023 |
Apc Asset Development I, LP
| Title | Chief Compliance Officer |
| Ownership | Under 5% |
| Control person | Yes |
| Since | 2023 |
Apc Asset Development II, LP
| Title | Chief Compliance Officer |
| Ownership | Under 5% |
| Control person | Yes |
| Since | 2023 |
Aristotle Pacific Capital, LLC
| Title | Owner, Chief Compliance Officer |
| Ownership | Under 5% |
| Control person | Yes |
| Since | 2023 |
Aristotle Pacific CLO Adviser III, LLC
| Title | Chief Compliance Officer |
| Ownership | Under 5% |
| Control person | Yes |
| Since | 2026 |