EAGLESTONE WEALTH ADVISORS, INC. of ROCKVILLE, MD is an SEC-registered investment adviser (CRD 141014). Regulatory assets under management: $197.7M.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Tarun Mehta | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Joseph Lager | SHAREHOLDER | — |
| John W Martin | CHIEF OPERATING OFFICER | — |
| James Dale Warring | FOUNDER & CEO; TRUSTEE | — |
| WARRING JAMES DALE | FOUNDER & CEO; PRESIDENT/CEO; PRESIDENT/CEO & CHIEF COMPLIANCE OFFICER (+3 more) | — |
| MEHTA TARUN | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| OUTSOURCE COMPLIANCE RESOURCES LLC | CHIEF COMPLIANCE OFFICER | — |
| MARTIN JULIE W | CHIEF OPERATING OFFICER | — |
| KANTAKEVICH JOSEPH WILLIAM | DIRECTOR OF INVESTMENTS & PORTFOLIO MANAGEMENT | — |
| LAGER JOSEPH | SHAREHOLDER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-09-08 | regulatory | IN OCTOBER 2025, THE MARYLAND SECURITIES DIVISION IS EXPECTED TO ENTER A CONSENT ORDER AGAINST JAMES D. WARRING (CASE NO. 2024-0057) RESOLVING ALLEGATIONS THAT HE VIOLATED THE ANTIFRAUD AND INVESTMENT ADVISORY PROVISIONS OF THE MARYLAND SECURITIES ACT. THE PROPOSED ORDER STATES THAT WARRING RECOMMEN… | Pending | $450K |
| 2025-09-08 | regulatory | ON SEPTEMBER 8, 2025, THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ISSUED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS AGAINST JAMES D. WARRING, THE FIRM'S FORMER CEO AND FOUNDER. THE SEC FOUND THAT MR. WARRING KNOWINGLY AND/OR RECKLESSLY BREACHED HIS FIDUCIARY DUTY TO A CL… | Final | $450K |