BRIDGELIGHT FINANCIAL ADVISORS, INC of SHELTON, CT is an SEC-registered investment adviser (CRD 139518). Regulatory assets under management: $150.8M.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Other.
| Name | Role | Location |
|---|---|---|
| William Thomas Leavitt | PRESIDENT, CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-05-03 | regulatory | THE BANKING COMMISSIONER'S STAFF ALLEGED THAT SFA HAD TAKEN CUSTODY OF A TRUST'S ASSETS BY ACTING AS TRUSTEE AND HAD FAILED TO AMEND ITS INVESTMENT ADVISORY FILINGS TO REFLECT THE EXISTENCE OF CUSTODY. THE STAFF ALSO ALLEGED THAT SFA WAS OPERATING A COLLEGE COUNSELING BUSINESS AND HAD NOT AMENDED IT… | Final | $10K |