BTS ASSET MANAGEMENT INC of LINCOLN, MA is an SEC-registered investment adviser (CRD 105215). Regulatory assets under management: $144.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Other.
| Name | Role | Location |
|---|---|---|
| Vilis Pasts | CHARIMAN OF BOARD | Lexington, MA |
| Finn John | CHIEF COMPLIANCE OFFICER | Boulder, CO |
| Matthew Alexander Pasts | CEO, CCO,TREASURER, DIRECTOR | — |
| Isaac Charles Braley | PRESIDENT, DIRECTOR | — |
| PASTS VILIS | CHARIMAN OF BOARD; CHARIMAN OF BOARD SECRETARY | — |
| PASTS MATTHEW ALEXANDER | CEO, CCO,TREASURER, DIRECTOR; CEO, TREASURER, DIRECTOR; PRESIDENT, TREASURER, DIRECTOR | — |
| SHILMAN GARY ALLEN | CHIEF COMPLIANCE OFFICER | — |
| KUSSELL MAURICE LANCE | PRESIDENT, DIRECTOR | — |
| BRALEY ISAAC CHARLES | PRESIDENT, DIRECTOR | — |
| BREEN JOSHUA NATHAN | CHIEF COMPLIANCE OFFICER; COUNSEL/CHIEF COMPLIANCE OFFICER; COUNSEL/CHIEF COMPLIANCE OFFICER, SECRETARY | — |
| Henry Michael Pasts | EXECUTIVE VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-11 | regulatory | ON SEPTEMBER 11TH, 2023, BTS OFFERED, AND THE SEC AGREED TO ACCEPT, A SETTLEMENT REGARDING ALLEGED VIOLATIONS OF SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-1(D) THEREUNDER. THE SEC ALLEGED THAT BTS ADVERTISED HYPOTHETICAL PERFORMANCE ON ITS PUBLIC WEBSITE WITHOUT ADOPTING AND IMPLEMENTING PO… | Final | $135K |
| 2012-10-29 | regulatory | ON OCTOBER 29, 2012, BTS ASSET MANAGEMENT OFFERED, AND THE SEC AGREED TO ACCEPT, A SETTLEMENT IN CONNECTION WITH AN ORDER INSTITUTING PROCEEDINGS, MAKING FINDINGS, IMPOSING REMEDIAL SANCTIONS AND ISSUING CEASE AND DESIST ORDERS (ADMINISTRATIVE PROCEEDING FILE NO. 3-15802) REGARDING ALLEGED VIOLATION… | Final | $200K |