RS PETRELL & ASSOCIATES, LLC of DEWITT, NY is an SEC-registered investment adviser (CRD 143462). Regulatory assets under management: $159.1M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Marybeth Petrell | MANAGING PARTNER/CHIEF COMPLIANCE OFFICER | — |
| PETRELL MARYBETH | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER; MANAGING PARTNER/CHIEF COMPLIANCE OFFICER; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2008-04-11 | regulatory | NASD RULE 2110: RICHARD PETRELL OBTAINED $17000.00 FROM HIS EMPLOYING MEMBER FIRM BY SUBMITTING FALSIFIED EXPENSE REIMBURSEMENT REQUESTS. | Final | — |