ACCOUNT MANAGEMENT, LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 110303). Regulatory assets under management: $106.2M.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Christopher Andrew De Roetth | MEMBER AND CHIEF COMPLIANCE OFFICER | — |
| Elisabeth Abbe | MEMBER | — |
| DEROETTH PETER | DIRECTOR, PRESIDENT; MEMBER; MEMBER & CHIEF COMPLIANCE OFFICER (+1 more) | — |
| DEROETTH CHRISTOPHER ANDREW | DIRECTOR, VICE PRESIDENT; MEMBER; MEMBER AND CHIEF COMPLIANCE OFFICER (+1 more) | — |
| ALBRIGHT RICHARD CHARLES | DIRECTOR, VICE PRESIDENT; MEMBER | — |
| ALBRIGHT TIM KEPPEL | CHIEF COMPLIANCE OFFICER | — |
| BURDETTE LOUISA | MEMBER | — |
| ABBE ELISABETH | MEMBER | — |
| DE ROETTH CHRISTOPHER ANDREW | MEMBER AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-03-06 | regulatory | VIOLATIONS OF SECTIONS 9 V.S.A. § 5501(3). THE FIRM OBTAINED CONSENT FROM AN ELDERLY CLIENT TO CHANGE TRUST AGREEMENT WHEN THEY KNEW, OR SHOULD HAVE KNOWN, CLIENT SUFFERED FROM SENILE DEMENTIA. | Final | $90K |
| 2020-03-06 | regulatory | VIOLATIONS OF SECTIONS 9 V.S.A. ? 5501(3). THE FIRM OBTAINED CONSENT FROM AN ELDERLY CLIENT TO CHANGE TRUST AGREEMENT WHEN THEY KNEW, OR SHOULD HAVE KNOWN, CLIENT SUFFERED FROM SENILE DEMENTIA. | Final | $90K |
| 2019-07-19 | regulatory | VIOLATIONS OF SECTIONS 206(2) OF THE INVESTMENT ADVISERS ACT OF 1940. THE FIRM OBTAINED CONSENT FROM AN ELDERLY CLIENT TO CHANGE TRUST AGREEMENT WHEN THEY KNEW, OR SHOULD HAVE KNOWN, CLIENT SUFFERED FROM SENILE DEMENTIA. | Final | $175K |