ATLAS CAPITAL MANAGEMENT CORP of FT WAYNE, IN is an SEC-registered investment adviser (CRD 106107). Regulatory assets under management: $869.8M.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Jerry Lee Jacobs | PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| JACOBS JERRY LEE | PRESIDENT; PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-09-01 | regulatory | ALLEGATIONS AGAINST FIRM WERE RELATED TO NOT DIRECTING AN UNAFFILIATED THIRD PARTY FIRM TO OPEN CUSTODIAL ACCOUNTS FOR CLIENTS WHICH COULD ACCEPT A LESS EXPENSIVE MUTUAL FUND SHARE CLASS AND LACK OF ADEQUATE POLICIES AND PROCEDURES. | Final | $80K |