INVESTMENT RESEARCH & ADVISORY GROUP, INC. of ATLANTA, GA is an SEC-registered investment adviser (CRD 126246). Regulatory assets under management: $15.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Other.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Douglas Brian Leeson | PRINCIPAL | — |
| Judith Ann Jolley | CHIEF COMPLIANCE OFFICER | — |
| LEESON DOUGLAS BRIAN | PRINCIPAL; PRINCIPAL / CHIEF COMPLIANCE OFFICER | — |
| SMITH JILL RENEE | CHIEF COMPLIANCE OFFICER | — |
| DAVIS FAITH RENEE | CHIEF COMPLIANCE OFFICER | — |
| JOLLEY JUDITH ANN | CHIEF COMPLIANCE OFFICER | — |
| Lauren Victoria Norma Monce | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-07-01 | regulatory | FIRM SELF-REPORTED A REGISTRATION ISSUE INVOLVING THREE ADVISORS THAT OCCURRED UPON TRANSITION FROM DUAL-REGISTERED TO SINGLE-REGISTERED FIRM. THE ADVISORS WERE MISTAKENLY CODED AS "TERMINATED". THIS WAS AN ADMINISTRATIVE ERROR THAT THE FIRM CAUGHT MARCH 2020 AND REPORTED TO STATE OF GEORGIA ON THE… | Final | — |