FUSION INVESTMENT ADVISORS LLC of DALLAS, TX is an SEC-registered investment adviser (CRD 156549). Regulatory assets under management: $1.1B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Bryce Bradley Engel | CHIEF EXECUTIVE OFFICER; MANAGING MEMBER | — |
| Asiff Sherali Hirji | MEMBER | — |
| Robert Thomas Pujia | CHIEF OPERATIONS OFFICER | — |
| Laura Kimberly Wajs | CCO | — |
| Wayne Patrick Ferbert | NON-MANAGING MEMBER | — |
| JOHNSON JOHN SCOTT | CHIEF COMPLIANCE OFFICER | — |
| MANNIX GAIL CAROLYN | CHIEF COMPLIANCE OFFICER/EVP | — |
| TIETZ SCOTT DARRYL | MANAGER AND CEO | — |
| BARNETT RICHARD ALLEN | MANAGING MEMBER/CHIEF EXECUTIVE OFFICER; MEMBER | — |
| BORER RYAN JOSEPH | MANAGING MEMBER/CHIEF OPERATING OFFICER; MANAGING MEMBER/CHIEF OPERATING OFFICER,CHIEF COMPLIANCE OFFICER; MANAGING MEMBER/CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER (+1 more) | — |
| WAJS LAURA KIMBERLY | CCO | — |
| APOLLARO ANTHONY FRANCIS | CHIEF INVESTMENT OFFICER; MANAGING MEMBER; MEMBER | — |
| ENGEL BRYCE BRADLEY | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, MEMBER; CHIEF EXECUTIVE OFFICER, MEMBER, CCO (+1 more) | — |
| HORVATH CHRISTOPHER ANDREW | MEMBER | — |
| CRAVENS JONATHAN JOSHUA | CHIEF COMPLIANCE OFFICER | — |
| Sternbach Yehoshua Leibel | CHIEF TECHNOLOGY OFFICER, MEMBER | — |
| HIRJI ASIFF SHERALI | MEMBER | — |
| PUJIA ROBERT THOMAS | CHIEF OPERATIONS OFFICER | — |
| Wendlandt Morgan | CCO | — |
| Brayden Engel | DIRECTOR OF OPERATIONS | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-01-11 | regulatory | THE SEC ALLEGED RESPONDENT VIOLATED A NUMBER OF REGULATIONS UNDER THE INVESTMENT ADVISERS ACT OF 1940 PERTAINING TO MISLEADING DISCLOSURES ABOUT A HARD DOLLAR ARRANGEMENT; CHARGING FEES IN EXCESS OF THE DISCLOSED AMOUNTS; FAILURE TO RETAIN REQUIRED BOOKS AND RECORDS, INCLUDING CLIENT CORRESPONDENCE;… | Final | $150K |
| 2015-08-01 | regulatory | BASED ON THE INFORMATION PROVIDED BY THE ISSUER, MR. RIEDMILLER WAS LED TO BELIEVE THAT THE PROMISSORY NOTE WAS NOT A SECURITY; AS NOTED IN THE ORDER. THE ISSUER PROVIDED MR. RIEDMILLER WITH WRITTEN AND EVIDENCE OF THIS FACT AND ASSURED HIM OF THIS VERBALLY ON MULTIPLE OCCASIONS. | Final | $2K |
| 2011-07-06 | regulatory | IN NOVEMBER 2011 NEW YORK STATE BOARD OF FINANCIAL SERVICES, IN A BROAD-BASED SWEEP INVOLVING MULTIPLE AGENTS AND ALLIANZ ANNUITIES, FOUND THAT MR. WESSELS, SOLD AND DELIVERED IN THE STATE, AN ANNUITY CONTRACT ISSUED BY ALLIANZ LIFE INSURANCE COMPANY, AN UNAUTHORIZED ISSUER IN THAT STATE. MR. WESSEL… | Final | $30K |
| — | regulatory | — | — | — |