REALTA INVESTMENT ADVISORS, INC of WILMINGTON, DE is an SEC-registered investment adviser (CRD 134952). Regulatory assets under management: $385.4M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations.
Showing 25 of 27 people.
| Name | Role | Location |
|---|---|---|
| Ryan Lee Hanks | SHAREHOLDER | Charlotte, NC |
| Barrett Oliver Schultz | CHIEF OPERATIONS OFFICER | — |
| Jacob Daniel Palmer | CHIEF COMPLIANCE OFFICER | — |
| Timothy Joseph Bowman | CHIEF FINANCIAL OFFICER/FINOP | — |
| Elizabeth Anne Legacy | INTERIM PRESIDENT/CCO | — |
| Mark Robert Helliker | CHIEF OPERATION OFFICER | — |
| Alexander Baltovski | OUTSOURCED FINOP & CFO | — |
| BOWMAN CHRISTOPHER JOSEPH | CHIEF FINANCIAL OFFICER/FINOP | — |
| DONNELLY MICHAEL EDWARD | CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER (+1 more) | — |
| STEEN ROBERT TURNBULL | CHAIRMAN; CHIEF INVESTMENT OFFICER | — |
| DAVIS ROBERT E | FINANCIAL ADVISOR | — |
| REILING CHARLES FRANCIS | CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER/CHIEF FINANCIAL OFFICER; MANAGING PARTNER (+3 more) | — |
| BARRAGAN JOHN ARTHUR | CHIEF OPERATION OFFICER; CHIEF OPERATION OFFICER & CHIEF COMPLIANCE OFFICER | — |
| GILMAN CANDICE LEE | CHIEF COMPLIANCE OFFICER | — |
| RICHARDS STEPHEN M | NATIONAL SALES MANAGER | — |
| RICHARDS STEVEN MICHAEL | NATIONAL SALES MANAGER; NATIONAL SALES MANAGER/DIRECTOR | — |
| HANKS RYAN LEE | SHAREHOLDER | — |
| RAKERD MATTHEW DWAYNE | CHIEF COMPLIANCE OFFICER; CHIEF GROWTH OFFICER; CHIEF GROWTH & OPERATIONS OFFICER (+4 more) | — |
| KEEFE KEVIN MICHAEL | PRESIDENT AND CEO; PRESIDENT, CHIEF OPERATIONS OFFICER, AND CEO | — |
| SKINNER FRANCIS J | CHIEF COMPLIANCE OFFICER/CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER | — |
| PICCIRILLI JOSEPH ANTHONY | CHIEF FINANCIAL OFFICER | — |
| Monahan David James | CHIEF FINANCIAL OFFICER | — |
| LEGACY ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER | — |
| SCHULTZ BARRETT OLIVER | CHIEF COMPLIANCE OFFICER; PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| OCONNOR MICHAEL M | CHIEF FINANCIAL OFFICER/FINOP | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-09-30 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, HORN CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE MADE RECKLESS MISREPRESENTATIONS IN A LOAN APP AND LOAN AGREEMENT HE SUBMITTED TO THE SMALL BUSINESS ADMINISTRATION (SBA) TO OBTAIN AN ECONOMIC INJURY DISASTER LOAN (EIDL). THE FINDINGS ST… | Final | $10K |
| 2018-08-22 | regulatory | AS PART OF THE SECURITIES EXCHANGE COMMISSION'S (SEC) MUTUAL FUND SHARE CLASS SELECTION DISCLOSURE INITIATIVE, THE SEC ENCOURAGED INVESTMENT ADVISERS TO SELF-REPORT THE FAILURE TO ADEQUATELY DISCLOSE CONFLICTS OF INTEREST ASSOCIATED WITH THE RECOMMENDATION OR SELECTION OF A MUTUAL FUND SHARE CLASS T… | Final | — |
| 2017-12-11 | regulatory | THE SEC ALLEGES THAT THE FIRM FAILED REASONABLY TO SUPERVISE ITS FORMER CEO BY NOT HAVING IN PLACE, UNTIL 2013, REASONABLE POLICIES AND PROCEDURES FOR THE CREATION, USE AND REVIEW OF A CERTAIN TYPE OF CONSOLIDATED REPORTS. THE FIRM CONSENTED TO ENTRY OF AN ORDER OF CENSURE AND A FINE. | Final | $40K |
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