ALPHA FIDUCIARY, INC. of SCOTTSDALE, AZ is an SEC-registered investment adviser (CRD 144720). Regulatory assets under management: $114.0M.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Arthur Todd Doglione | MANAGING MEMBER & PRESIDENT | — |
| Walter Alan Gilmore | CCO | Pennington, NJ |
| GILMORE WALTER ALAN | CCO | — |
| DOGLIONE ARTHUR TODD | MANAGING MEMBER/ CHIEF COMPLIANCE OFFICER; MANAGING MEMBER & PRESIDENT | — |
| EICKELBERG PETER MARTIN | CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-11-30 | regulatory | THE SEC FOUND THAT CERTAIN MARKETING MATERIALS USED BY THE FIRM FROM 2010 TO 2013 SHOWED PERFORMANCE RESULTS THAT DID NOT CONTAIN ADEQUATE DISCLOSURES TO IDENTIFY IT AS HYPOTHETICAL RATHER THAN ACTUAL PERFORMANCE. IN ADDITION, THE FIRM DID NOT IMPLEMENT REASONABLE COMPLIANCE PROCEDURES DESIGNED TO P… | Final | $250K |