HBA ADVISORS, LLC of PASADENA, CA is an SEC-registered investment adviser (CRD 152050). Regulatory assets under management: $234.3M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Christopher Jude Haydel | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | — |
| BIEL RICKY | MANAGING DIRECTOR | — |
| HAYDEL CHRISTOPHER | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | — |
| BIEL RICKY ENRIQUE | MANAGING MEMBER | — |
| HAYDEL CHRISTOPHER JUDE | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-07-10 | regulatory | HBA WILLFULLY VIOLATED1 AND BIEL CAUSED HBA'S VIOLATIONS OF SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-1(A)(1) THEREUNDER, WHICH STATES THAT IT SHALL CONSTITUTE A FRAUDULENT, DECEPTIVE, OR MANIPULATIVE ACT, PRACTICE, OR COURSE OF BUSINESS FOR ANY INVESTMENT ADVISER REGISTERED OR REQUIRED TO… | Final | $25K |