LITTLEFIELD ASSET MANAGEMENT, INC. is an SEC-registered investment adviser (CRD 109602). Regulatory assets under management: $141.1M.
Compensation: % of AUM, Fixed.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| David J Littlefield | CHIEF COMPLIANCE OFFICER / PRESIDENT | — |
| LITTLEFIELD DAVID J | PORTFOLIO MANAGER/CHIEF COMPLIANCE OFFICER; PRESIDENT; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2013-08-14 | regulatory | THE ORDER ALLEGED LAM AND DAVID LITTLEFIELD TRANSACTED BUSINESS IN THE STATE OF GEORGIA WITHOUT BEING REGISTERED WITH THE STATE OF GEORGIA SECURITIES COMMISSIONER. | Final | $7K |