0001608698-17-000007.txt : 20171012
0001608698-17-000007.hdr.sgml : 20171012
20171012155943
ACCESSION NUMBER: 0001608698-17-000007
CONFORMED SUBMISSION TYPE: MA/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20171011
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Community Capital LLC
CENTRAL INDEX KEY: 0001608698
IRS NUMBER: 621788311
STATE OF INCORPORATION: TN
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-00074
FILM NUMBER: 171134546
BUSINESS ADDRESS:
STREET 1: 1708 MONROE AVENUE
CITY: MEMPHIS
STATE: TN
ZIP: 38104
BUSINESS PHONE: 901-274-5666
MAIL ADDRESS:
STREET 1: 1708 MONROE AVENUE
CITY: MEMPHIS
STATE: TN
ZIP: 38104
MA/A
1
primary_doc.xml
MA/A
0001608698
XXXXXXXX
Pamela Z. Clary
901-274-5666
pclary@community-capital.com
Community Capital LLC
ComCap Partners
ComCap Advisors, a division of Community Capital
62-1788311
866-00322-00
867-00074
1708 MONROE AVENUE
MEMPHIS
TN
38104
901-274-5666
Y
PO Box 42188
Memphis
TN
38174-2188
www.community-capital.com
Pamela
Zina
Clary
Executive Vice President
1708 Monroe Avenue
Memphis
TN
38104
901-274-5666
901-274-8040
pclary@community-capital.com
Archie
Walter
Willis
President
1708 Monroe Avenue
Memphis
TN
38104
901-274-5666
901-274-8040
awwillis@community-capital.com
December
TN
10-04-1999
N
1
1
0
0
0
3
Municipal Entities
Non-profit organizations
0
0
0
Not Applicable
Hourly Charges
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice On Selection
Y
Community Capital also provides consulting services in the areas of affordable housing and economic and community development. The firm also is a participant in real estate development projects. Other consulting work is performed for private developers and non-profits where no municipal activities are provided.
Real estate broker or dealer
1
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
Y
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
Archie
Walter
Willis
President
10-04-1999
D
Y
Pamela
Zina
Clary
EVP-Chief Compliance Officer
07-01-2014
C
Y
Alicia
Thompson
Willis
Secretary
10-04-1999
A
N
Amend
Archie
Walter
Willis
President
10-04-1999
D
Y
Amend
Pamela
Zina
Clary
EVP-Chief Compliance Officer
07-01-2014
C
Y
Amend
Alicia
Thompson
Willis
Secretary
10-04-1999
A
N
1
9-C2
9-C4
9-C5
Archie
Walter
Willis
III
N
002157724
In the Matter of J. Kenneth Alderman, et al., Admin. Proceeding File No. 3-15127
3-15127
100 F Street NE
Washington
DC
20549
Mr. Willis was one of eight respondents in an administrative proceeding initiated by the Securities and Exchange Commission's Division of Enforcement: In the Matter of J. Kenneth Alderman, et al., Admin. Proceeding File No. 3-15127 (Order Instituting Public Administrative and Cease-and-Desist Proceedings entered on Dec. 10, 2012; Order Making Findings and Imposing a Cease and Desist Order on entered June 13, 2013. On Dec. 10, 2012, the Division of Enforcement instituted public administrative and cease-and-desist proceedings in which it alleged that the respondents caused violations of three rules promulgated under the Investment Company Act (ICA), including Rule22c-1 under the ICA, Rule 30a-3 and Rule 38a-1 under the ICA. The Division of Enforcement and the respondents subsequently engaged in motions practice for several months. Respondents later submitted Offers of Settlement, which the Commission determined to accept. On June 13, 2013, the Commission entered an Order Making Findings and Imposing a Cease and Desist Order pursuant to Section 9(f) of the ICA (Order). In the Order, the Commission found that the respondents caused certain registered investment companies to companies to violate Rule 38a-1under the ICA. respondents were ordered to cease and desist from committing or causing any violations, or any future violations, of Rule 38a-1.
12-10-2012
Cease and Desist
Mutual Fund(s)
See response to Question 13.
06-13-2013
Order
N
Y
Cease and Desist
Pamela Z Clary
Pamela Z. Clary
EVP-Chief Compliance Officer
10-11-2017
N
N
Y
Y
N
Y
N
N
Y
N
N
N
N
N
N
N
N
N
N
N
Y