PRUFID FINANCIAL ADVISORS LLC is an SEC-registered investment adviser (CRD 121897). Regulatory assets under management: $358.0M.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Eric Edward Haas | CHIEF COMPLIANCE OFFICER; MEMBER | — |
| HAAS ERIC EDWARD | CHIEF COMPLIANCE OFFICER; MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-05-01 | regulatory | THIS FEDERAL-COVERED INVESTMENT ADVISER COMPANY ACCIDENTALLY FAILED TO MAKE REQUIRED FORM ADV "NOTICE FILINGS" TO THE STATE OF MICHIGAN FOR SEVERAL YEARS (UNTIL VOLUNTARILY CORRECTED IN MID-2019 BY ITSELF). | Final | $800 |
| — | regulatory | — | — | — |