THREE BRIDGE WEALTH ADVISORS, LLC of LOS ALTOS, CA is an SEC-registered investment adviser (CRD 150460). Regulatory assets under management: $1.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Brown T Michael | MANAGER/MEMBER/CHIEF COMPLIANCE OFFICER | Calgary, A0 |
| Brett Barton Sharkey | MANAGING MEMBER | LOS ALTOS, CA |
| Eric Thomas Thurber | MANAGING MEMBER/CHIEF INVESTMENT OFFICER | — |
| Cynthia Ann Banfield | CHIEF COMPLIANCE OFFICER | — |
| Marguerite Amaral Tavares | CHIEF COMPLIANCE OFFICER | — |
| SHARKEY BRETT BARTON | MANAGING MEMBER; MANAGING MEMBER/CHIEF COMPLIANCE OFFICER; MANAGING MEMBER/CHIEF OPERATING OFFICER | — |
| MOLFINO FREDERICK JOHN | MANAGING MEMBER; MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| THURBER ERIC THOMAS | MANAGING MEMBER/CHIEF INVESTMENT OFFICER | — |
| POWELL JANICE MARIE | CHIEF COMPLIANCE OFFICER | — |
| TAVARES MARGUERITE AMARAL | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-09-27 | regulatory | THE SEC ALLEGED THAT IN 2015, REGISTRANT VOTED PROXIES WITHOUT HAVING BEEN GRANTED THE AUTHORITY TO VOTE AND THAT REGISTRANT'S FORM ADV, PART 2A FILED ON FEBRUARY 10, 2015 AND JANUARY 14, 2016 INACCURATELY STATED THAT THAT IT DID NOT ACCEPT SUCH AUTHORITY. BASED ON THIS, THE SEC ALLEGED THAT REGISTR… | Final | $60K |