DANIEL INVESTMENT ASSOCIATES, LLC of SANTA BARBARA, CA is an SEC-registered investment adviser (CRD 157284). Regulatory assets under management: $225.3M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Gregory Daniel Van Wyk | INVESTMENT MANAGER/FOUNDER/CCO | — |
| VAN HOVE DANIEL | ELECTED MANAGER/CHIEF COMPLIANCE OFFICER; INVESTMENT MANAGER/FOUNDER/CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-02-21 | regulatory | AS DESCRIBED MORE FULLY IN THE ORDER, THE SEC FOUND THAT DIA AND VAN WYK NEGLIGENTLY FAILED TO DISCLOSE TO REPRESENTATIVES OF ONE CLIENT MATERIAL INFORMATION REGARDING PROMISSORY NOTES ISSUED BY ESSEX CAPITAL CORPORATION, ONE OF THE THIRD-PARTY INVESTMENTS RECOMMENDED BY DIA TO ITS CLIENTS. WITHOUT… | Final | $75K |