KOON FINANCIAL PLANNING & CONSULTING, LLC of GREENWOOD, IN is an SEC-registered investment adviser (CRD 126051). Regulatory assets under management: $146.9M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Evan Scott Fruits | PRESIDENT | — |
| Susan Elaine Mitchell | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2011-10-12 | regulatory | ALLEGATION 1. KOON FINANCIAL PLANNING & CONSULTING, LLC ("KFPC") WAS REGISTERED AS AN INVESTMENT ADVISER IN INDIANA FROM 10/17/2003 TO 04/12/2009, WITHDREW ITS REGISTRATION ON 04/13/2009 AND REGISTERED AS AN INVESTMENT ADVISER AGAIN ON 07/08/2010. ALLEGATION 2. WALTER L. KOON, JR. ("KOON"), AN INDIV… | Final | $6K |