John Knox has been Principal, Director of Carnegie Capital Asset Management since February 2025, is not listed as a control person, but directly owns under 5% of the firm. John Knox holds a Bachelor of Arts in Economics from Fordham University and an MBA in Finance from Pace University.
Carnegie Capital Asset Management, LLC is a Pepper Pike, OH firm with $7.51B under management, 3,281 clients and 39 advisers across 11 offices, as of its July 2026 filing.
John J. Knox III is Principal, Director and Portfolio Manager of Carnegie Investment Counsel, based in Stamford. He works directly with individuals and families. He began his career on Wall Street with E.F. Hutton, then joined U.S. Trust Company and later co-founded Eagle Ridge Investment Management.
John Knox’s longest registration was 16 years at Eagle Ridge Investment Management LLC (2008–2025). Before joining Carnegie Capital Asset Management in 2025, John Knox was registered through Eagle Ridge Investment Management LLC.
- Carnegie Investment CounselCurrent– present · 1 yearStamford, CT · Adviser representative · Firm CRD 150488
- Eagle Ridge Investment Management LLC– · 16 yearsStamford, CT · Adviser representative · Firm CRD 147824
Professional designations
Listed by Carnegie Capital Asset Management
- CFA®
Investment adviser representative registrations
John Knox is registered as an investment adviser representative in Connecticut, since February 2025.
- ConnecticutSince 10 February 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 27 May 1997 |
| Series 65 | Uniform Investment Adviser Law Examination | 13 May 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 October 1986 |
| Series 7 | General Securities Representative Examination | 19 April 1986 |
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John Jay Knox
- CRD
- 1407389
- Firm
- Carnegie Capital Asset Management · CRD 150488
- Role
- Principal, Director
- Office
- 4 High Ridge Park, 3rd Floor, Stamford, CT 06905
- Registration
- Investment adviser registration
- In the industry since
- October 2008
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- carnegieinvest.com
Where does John Knox work?
John Knox has been Principal, Director of Carnegie Capital Asset Management, LLC since February 2025.
Is John Knox a financial advisor?
Yes. John Knox has a current investment-adviser registration in Connecticut, through Carnegie Capital Asset Management since February 2025.
How many years of experience does John Knox have?
John Knox has 18 years in the financial industry, since October 2008, across 2 adviser firms.
What exams has John Knox passed?
John Knox has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 26. The earliest, the Series 7, was passed in April 1986.
Where did John Knox work before Carnegie Capital Asset Management?
Before Carnegie Capital Asset Management, John Knox was registered through Eagle Ridge Investment Management LLC, October 2008 to February 2025.
Where is John Knox based?
John Knox’s registered office is in Stamford, CT.
Is John Knox registered with FINRA?
No. John Knox has no current broker registration.
Is John Knox a CFA charterholder?
Carnegie Capital Asset Management lists John Knox with the CFA credential (“CFA®”) on its website. CFA Institute confirms certification status.
How can I verify John Knox’s record?
Search CRD 1407389 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Knox’s full registration record.
Richard AltChief Executive Officer/Principal
Gary WagnerPresident/Principal
Joseph SpidalieriChief Operating Officer- Ann Shigemura-HildebrandChief Compliance Officer
Benjamin ConnardPrincipal, Director, Portfolio Manager
Michael OliverPrincipal, Director, Portfolio Manager
David TillsonPrincipal, Director, Portfolio Manager