LEFAVI WEALTH MANAGEMENT, INC. of SALT LAKE CITY, UT is an SEC-registered investment adviser (CRD 104961). Regulatory assets under management: $445.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Stuart Enterline | PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| Jay Van Greenburg | DEPUTY COMPLIANCE OFFICER | — |
| LEFAVI BRUCE ANTHONY | CCO; CHAIRMAN OF THE BOARD; OWNER (+1 more) | — |
| LAFAVI GEOFFREY LYNN | VICE PRESIDENT | — |
| BRADY CATHY CLAWSON | SECRETARY/TREASURER | — |
| BAKELAR SHERRIE ANNE | CHIEF COMPLIANCE OFFICER | — |
| FRANCE MICHELLE DAWN | CHIEF COMPLIANCE OFFICER | — |
| ALDERETE MARIA DEL CARMEN | CHIEF OPERATIONS OFFICER | — |
| MUNSON BRETT ALLEN | CHIEF COMPLIANCE OFFICER | — |
| LIGHT CHRISTOPHER WILLIAM | VICE PRESIDENT | — |
| SCHUT SHANE SAMUEL | VICE PRESIDENT | — |
| JAICKS JOHN DAVID | VICE PRESIDENT | — |
| SLATTER JOEL DAVID | SENIOR ADVISER | — |
| Enterline Stuart | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER; PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| GREENBURG JAY VAN | DEPUTY COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-12-16 | regulatory | THE SECURITIES EXCHANGE COMMISSION ALLEGED BREACHES OF FIDUCIARY DUTY AND DISCLOSURE FAILURES IN CONNECTION WITH RECOMMENDATIONS AND INVESTMENTS IN NON-TRADED REAL ESTATE INVESTMENT TRUSTS, BUSINESS DEVELOPMENT COMPANIES, AND PRIVATE PLACEMENTS FROM JUNE 2014 TO DECEMBER 2016. | Final | $150K |
| — | regulatory | — | — | — |