KINGSVIEW WEALTH MANAGEMENT, LLC of GRANTS PASS, OR is an SEC-registered investment adviser (CRD 148107). Regulatory assets under management: $9.0B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Sean Patrick Mcgillivray | CHIEF EXECUTIVE OFFICER; TRUSTEE | — |
| Scott David Martin | CHIEF INVESTMENT OFFICER | — |
| Matthew John Stolen | CHIEF COMPLIANCE OFFICER, KWM | — |
| Kevin W Swanson | KINGSVIEW INVESTMENT MANAGEMENT - COMPLIANCE DIRECTOR | — |
| Misty Dawn House | CHIEF OPERATIONS OFFICER | — |
| MARTIN ALAN DAVID | CHIEF INVESTMENT OFFICER; CIO | — |
| LEWIS JOSHUA | MANAGING MEMBER | — |
| SINCLAIR NOEL HOWARD | CHIEF COMPLIANCE OFFICER | — |
| MCGILLIVRAY SEAN PATRICK | C0- PRESIDENT; CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER (+2 more) | — |
| ABAROA ALESSANDRO | CO-PRESIDENT; MANAGING PARTNER | — |
| SWANSON KEVIN W | KINGSVIEW INVESTMENT MANAGEMENT - COMPLIANCE DIRECTOR | — |
| Klemow Aaron | MANAGING DIRECTOR | — |
| Stolen Matthew John | CHIEF COMPLIANCE OFFICER, KWM | — |
| HOUSE MISTY DAWN | CHIEF OPERATIONS OFFICER | — |
| Neil Ray Peplinski | CHIEF INVESTMENT OFFICER | — |
| John Marshall Belniak | PRESIDENT, CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-12-29 | regulatory | ON DECEMBER 29TH, 2016 THE NATIONAL FUTURES ASSOCIATION ALLEGED THAT KINGSVIEW FUTURES, LLC AND JOSH LEWIS FAILED TO DILIGENTLY SUPERVISED THE FIRM'S OPERATIONS AND ACTIVITIES IN VIOLATION OF NFA COMPLIANCE RULE 2-9(A). | Final | $50K |
| — | regulatory | — | — | — |