GUTT FINANCIAL MANAGEMENT, LLC of ATLANTA, GA is an SEC-registered investment adviser (CRD 109270). Regulatory assets under management: $162.1M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Michael Steven Gutt | PRESIDENT; CHIEF COMPLIANCE OFFICER | — |
| GUTT MICHAEL STEVEN | PRESIDENT; PRESIDENT; CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-06-02 | regulatory | GFM DID NOT FILE A NEW FORM CRS WITH THE SEC OR PROVIDE TO CLIENTS ON A TIMELY BASIS. | Final | $25K |