LIBERTY ASSET MANAGEMENT, LLC of ALLENTOWN, PA is an SEC-registered investment adviser (CRD 142094). Regulatory assets under management: $141.0M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Richard Eric Frable | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/MANAGING MEMBER; MEMBER | — |
| Benjamin Tyler Chunko | MEMBER; OWNER | — |
| Charles James Noti | MEMBER; OWNER | — |
| Gary Stephen Mayo | MEMBER; OWNER | — |
| MENZIES GARY DONALD | MEMBER; PARTNER | — |
| FRABLE RICHARD ERIC | CHIEF COMPLIANCE OFFICER; MEMBER, CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2003-09-03 | regulatory | OFFERED AND SOLD UNREGISTERED SECURITIES IN PA IN VIOLATION OF SECTION 201 OF THE 1972 ACT, 70 P.S. | Final | — |