NPA ASSET MANAGEMENT, LLC of FAIR LAWN, NJ is an SEC-registered investment adviser (CRD 131534). Regulatory assets under management: $1.1B.
Compensation: % of AUM, Fixed, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Peter Abramenko | CO-CHAIRMAN OF THE BOARD | Palo Alto, CA |
| Michael John De Pol | FOUNDER AND CHAIRMAM OF THE BOARD | — |
| Michael J Karalewich | CHIEF EXECUTIVE OFFICER | — |
| James S Colleary | CHIEF COMPLIANCE OFFICER | — |
| DE LUCA DAVID JOHN | FOUNDER AND CHAIRMAM OF THE BOARD | — |
| KONITS DAVID MATTHEW | CHIEF OPERATING, FINANCIAL, AND INVESTMENT OFFICER; CHIEF OPERATING, FINANCIAL, INVESTMENT, AND COMPLIANCE OFFICER; CHIEF OPERATING OFFICER / CHIEF FINANCIAL OFFICER | — |
| DEPOL MICHAEL JOHN | CEO; CEO/CIO/CFO; CHIEF EXECUTIVE OFFICER/ CHIEF INVESTMENT OFFICER | — |
| KARALEWICH MICHAEL J | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER; CHIEF EXECUTIVE OFFICER | — |
| ABRAMENKO PETER | CO-CHAIRMAN OF THE BOARD; PRESIDENT | — |
| COLLEARY JAMES S | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-04 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST NATIONWIDE PLANNING ASSOCIATES, INC. (NATIONWIDE), NPA ASSET MANAGEMENT, LLC (NPA), AND BLUE POINT STRATEGIC WEALT… | Final | $160K |
| 2024-08-20 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, NPA ASSET MANAGEMENT, LLC CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REASONABLY SUPERVISE NOR ADDRESS AN INVESTMENT ADVISER REPRESENTATIVE'S DECEPTIVE PRACTICE OF MAKING UNSUITABLE RECOMMENDATIONS AND NON-COMPLIANCE WITH FIDUC… | Final | $315K |
| 2022-09-08 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AGAINST NPA… | Final | $300K |
| — | regulatory | — | — | — |