BERESH, PATRICK MICHAEL of LARKSPUR, CA is an SEC-registered investment adviser (CRD 137495). Regulatory assets under management: $117.2M.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Patrick Michael Beresh | OWNER, PRINCIPAL AND CHIEF COMPLIANCE OFFICER | — |
| BERESH PATRICK MICHAEL | OWNER/CCO; OWNER/CHIEF COMPLIANCE OFFICER; OWNER, PRINCIPAL AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-12-04 | regulatory | PMB ADVISORS ENTERED INTO A CONSENT ORDER WITH THE STATE OF CALIFORNIA DEPARTMENT OF FINANCIAL PROTECTION AND INNOVATION RELATED TO THE DEPARTMENT'S ALLEGATION THAT THREE TRADE ALLOCATION DECISIONS MADE BY PMB ADVISORS ON MAY 30, 2019 WERE UNFAIR TO 46 CLIENTS EXCLUDED FROM PARTICIPATION IN THE PROF… | Final | $10K |