GENEOS WEALTH MANAGEMENT, INC. of ENGLEWOOD, CO is an SEC-registered investment adviser (CRD 120894). Regulatory assets under management: $9.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Jodee May Brubaker-Rager | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| Russell Rhine Diachok | DIRECTOR | — |
| Dean Allen Rager | CHIEF OPERATING OFFICER & CHIEF ADVISORY COMPLIANCE OFFICER | — |
| Raymond Corey Olson | CFO | — |
| Ryan Wesley Diachok | CEO | — |
| Jeffrey Wright Helms | DIRECTOR | — |
| DIACHOK RUSSELL RHINE | CEO; DIRECTOR; PRES. /CEO & DIRECTOR (+2 more) | — |
| DIACHOK GEORGE THEODORE | CHAIRMAN; SEC. /TREAS. CHR. OF BRD.; SHAREHOLDER | — |
| BRUBAKER-RAGER JODEE MAY | CHIEF COMPLIANCE OFFICER; CHIEF OPERATIONS OFFICER AND CHIEF COMPLIANCE OFFICER. CROP / SROP.; PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| RAGER DEAN ALLEN | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER & ADVISORY COMPLIANCE OFFICER; CHIEF OPERATING OFFICER & CHIEF ADVISORY COMPLIANCE OFFICER (+2 more) | — |
| TEMPLETRUJILLO DOUGLAS GUY | CHIEF FINANCIAL OFFICER | — |
| MILLER CRAIG ALAN | DIRECTOR | — |
| HALKETT KIMBERLY ANN | COMPLIANCE OFFICER - ADVISORY SERVICES | — |
| OLSON RAYMOND COREY | CFO; CFO/CONTROLLER | — |
| COLEMAN WESLEY ALAN | CHIEF MARKETING OFFICER | — |
| MESARD PAUL SAMUEL | VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | — |
| WOODBURY DANA LAWRENCE | VP OF ADVISORY SERVICES AND DUE DILIGENCE | — |
| STARKEY KEVIN MITCHELL | VICE PRESIDENT SALES AND MARKETING | — |
| DIACHOK RYAN WESLEY | CEO; PRESIDENT | — |
| HELMS JEFFREY WRIGHT | DIRECTOR | — |
| Pamala Ann Reichert | DEPUTY CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-03-18 | regulatory | IN CONNECTION WITH LJM PRESERVATION AND GROWTH FUND, FINRA ALLEGED THAT THE FIRM DID NOT HAVE A REASONABLE SUPERVISORY SYSTEM FOR ALTERNATIVE MUTUAL FUNDS. IN CONNECTION WITH GPB CAPITAL, FINRA ALLEGED THAT THE FIRM NEGLIGENTLY FAILED TO TELL THREE INVESTORS MATERIAL INFORMATION REGARDING THE OFFERI… | Final | $150K |
| 2020-05-01 | regulatory | THE CALIFORNIA DEPARTMENT OF INSURANCE ASSERTED VARIOUS CLAIMS AGAINST THE FIRM ARISING FROM FOUR DISCIPLINARY ACTIONS INVOLVING THE FIRM DATING BACK TO 2006. THE DEPARTMENT OF INSURANCE ASSERTED THAT ALLEGED CONDUCT RELATING TO THESE PRIOR ACTIONS CONSTITUTED BREACHES OF CERTAIN PROVISIONS OF THE C… | Final | $5K |
| 2018-04-06 | regulatory | SEC ADMIN RELEASE 34- 83003, IA RELEASE 4877 / APRIL 6, 2018: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST GENEOS WEALTH MANAGEMENT, INC. ("GENEOS" OR "RESPONDENT"). ON THE BAS… | Final | $250K |
| 2015-10-30 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT REPRESENTATIVES LOCATED AT A BRANCH OFFICE OF THE FIRM PARTICIPATED IN THE EXECUTION OF SECURITIES TRANSACTIONS, NAMELY INVESTMENTS IN THE FORM OF LIMITED PARTNERSHIP INTERESTS, AS PART O… | Final | $13K |
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