MUNTZ FINANCIAL, LLC of DOYLESTOWN, PA is an SEC-registered investment adviser (CRD 145971). Regulatory assets under management: $177.6M.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Pensions, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| David Michael Muntz | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| MUNTZ DAVID MICHAEL | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| STRZELECKI ZIGMUND CHRISTIAN | VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-24 | regulatory | FROM APPROXIMATELY JUNE 2021 THROUGH APRIL 2022, STRZELECKI IMPROPERLY ALLOCATED PROFITABLE TRADES TO HIS PERSONAL ACCOUNTS, FAMILY MEMBERS' ACCOUNTS, AND OTHER AFFILIATED ACCOUNTS (THE "FAVORED ACCOUNTS") AT THE EXPENSE OF HIS OTHER ADVISORY CLIENTS. DURING THIS PERIOD, STRZELECKI ALLOCATED A DISPR… | Final | $124K |
| 2023-07-18 | regulatory | ALLEGATIONS CONCERNED MUNTZ FINANCIAL (1) NOT FILING AN AUDITED BALANCE SHEET WITH THE DEPARTMENT AS OF ITS FISCAL YEAR END; AND (2) NOT TAKING STEPS NECESSARY TO ENSURE THAT MATERIAL INFORMATION CONTAINED IN ITS FORM ADV AND EXHIBITS REMAINED CURRENT AND ACCURATE AND FILED TIMELY WITH THE DEPARTMEN… | Final | $80K |