BILL FEW ASSOCIATES, INC. of SEWICKLEY, PA is an SEC-registered investment adviser (CRD 133561). Regulatory assets under management: $2.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Michael Kent Kauffelt | CO-CIO | — |
| John Edward Jones | CFO, COO, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | — |
| Kenneth James Como | DIRECTOR | — |
| JONES CHARLES EDWARD | CFO, COO, CCO, DIRECTOR; CFO, COO, CHIEF COMPLIANCE OFFICER, DIRECTOR; CFO, COO, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR (+1 more) | — |
| KAUFFELT MICHAEL KENT | CO-CIO; DIRECTOR; PRESIDENT, CEO, DIRECTOR (+1 more) | — |
| BROWN JOHN ROBENO | CHAIRMAN; CHAIRMAN EMERITUS; SHAREHOLDER, DIRECTOR | — |
| COMO KENNETH JAMES | DIRECTOR; SHAREHOLDER, DIRECTOR | — |
| MARZINA JEFFRY | DIRECTOR; SHAREHOLDER, DIRECTOR | — |
| MILLER STUART MARC | SHAREHOLDER, DIRECTOR | — |
| SCHNEIDER JOHN MARTIN | SHAREHOLDER, DIRECTOR | — |
| SCARPO JOSEPH ANTHONY | SHAREHOLDER, DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-06-11 | regulatory | BREACH OF FIDUCIARY DUTY AND INADEQUATE DISCLOSURES IN CONNECTION WITH ITS MUTUAL FUND SHARE CLASS SELECTION PRACTICES AND THE FEES ITS AFFILIATED BROKER AND ITS ASSOCIATED PERSONS RECEIVED PURSUANT TO RULE 12B-1 UNDER THE INVESTMENT COMPANY ACT OF 1940. AT TIMES DURING THE PERIOD OF JANUARY 1, 2014… | Final | — |
| 2014-07-01 | regulatory | BILL FEW ASSOCIATES, INC. WAS PREVIOUSLY DUALLY REGISTERED AS A BROKER/DEALER AND AN INVESTMENT ADVISER IN PENNSYLVANIA. AS SUCH, THE FIRM UTILIZED A REGISTRATION EXEMPTION AFFORDED DUALLY REGISTERED FIRMS TO ELIMINATE DUPLICATE REGISTRATIONS FOR INDIVIDUALS THAT WERE BOTH REPRESENTATIVES OF THE BRO… | Final | $75K |
| City | State | Employees | Phone |
|---|---|---|---|
| PITTSBURGH | PA | 11 | 412-630-6000 |
| SEWICKLEY | PA | 3 | 412-630-7200 |