SOUTHWIND ASSOCIATES OF NJ INC. of MONTVALE, NJ is an SEC-registered investment adviser (CRD 110371). Regulatory assets under management: $299.1M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| William Scott Villafranco | PRESIDENT | — |
| Amanda Marie Villafranco | CHIEF COMPLIANCE OFFICER | — |
| VILLAFRANCO WILLIAM SCOTT | PRESIDENT | — |
| LAPERUTA ANTHONY J | VICE PRESIDENT; VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| DURKIN ANTHONY ANGELO | EXECUTIVE VICE PRESIDENT | — |
| BERKANISH JANET MARY | CHIEF COMPLIANCE OFFICER | — |
| MULLEN CORI ALYSE | CHIEF COMPLIANCE OFFICER | — |
| SALANDRA KIM MARIE | CHIEF OPERATING OFFICER | — |
| DELPOZZO MICHAEL DONLAN | V.P. MARKETING AND SALES | — |
| PRAGER JOSHUA A | CHIEF COMPLIANCE OFFICER | — |
| Villafranco Amanda Marie | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-08-15 | regulatory | VARIOUS ALLEGED VIOLATIONS OF ADVISERS ACT AND RULES THEREUNDER, VIOLATIONS OF RULE 30(A) OF REGULATION S-P | Final | $50K |