LIBERTAS WEALTH MANAGEMENT GROUP, INC. of COLUMBUS, OH is an SEC-registered investment adviser (CRD 157769). Regulatory assets under management: $163.1M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Adam Dean Koos | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-08-31 | regulatory | IN EARLY 2015 TWO OF THE LIBERTAS CLIENTS RE-LOCATED FROM OHIO TO FLORIDA AND A THIRD CLIENT RE-LOCATED FROM OHIO TO FLORIDA IN THE SPRING OF 2016. ON AUGUST 29, 2016, LIBERTAS APPLIED FOR REGISTRATION AS AN INVESTMENT ADVISER WITH THE STATE OF FLORIDA AND SELF-REPORTED THAT LIBERTAS HAD CONDUCTED U… | Final | $14K |