S.F. EHRLICH ASSOCIATES, INC. of CRANFORD, NJ is an SEC-registered investment adviser (CRD 121356). Regulatory assets under management: $185.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| John Craig Zeltmann | PRESIDENT, SECRETARY, TREASURER (12/2023) AND CHIEF COMPLIANCE OFFICER | — |
| EHRLICH STANLEY FRED | CHIEF COMPLIANCE OFFICER; PRESIDENT; PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| ZELTMANN JOHN CRAIG | CHIEF COMPLIANCE OFFICER; PRESIDENT, SECRETARY, TREASURER (12/2023) AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-05-16 | regulatory | FROM APRIL 2012 UNTIL THE EFFECTIVE DATE OF THE "CONSENT AGREEMENT AND ORDER," S.F. EHRLICH AND ASSOCIATES, INC. TRANSACTED BUSINESS AS AN INVESTMENT ADVISER IN PENNSYLVANIA IN VIOLATION OF SECTION 301(C) OF THE PENNSYLVANIA SECURITIES ACT OF 1972, BY FAILING TO REGISTER AS AN INVESTMENT ADVISER. | Final | $85K |
| 2017-05-16 | civil | FROM APRIL 2012 UNTIL THE EFFECTIVE DATE OF THE "CONSENT AGREEMENT AND ORDER," S.F. EHRLICH AND ASSOCIATES, INC. TRANSACTED BUSINESS AS AN INVESTMENT ADVISER IN PENNSYLVANIA IN VIOLATION OF SECTION 301(C) OF THE PENNSYLVANIA SECURITIES ACT OF 1972, BY FAILING TO REGISTER AS AN INVESTMENT ADVISER. | Final | $85K |