BLUESTONE CAPITAL MANAGEMENT, LLC of WAYNE, PA is an SEC-registered investment adviser (CRD 157841). Regulatory assets under management: $390.1M.
Compensation: % of AUM, Performance.
Clients served: High net worth, Charities, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Brian C Shevland | CHIEF EXECUTIVE OFFICER; OWNER | Wayne, PA |
| Wade Christopher Boylan | CHIEF COMPLIANCE OFFICER | — |
| Peter Roserio Guarino | CHIEF COMPLIANCE OFFICER | — |
| SMITH JAMES RICHARD | CCO | — |
| MCCLEAN DAVID EDWARD | CHIEF COMPLIANCE OFFICER | — |
| BOYLAN WADE CHRISTOPHER | CHIEF COMPLIANCE OFFICER | — |
| CALFO LEE ALBERT | CCO; MEMBER, CHIEF COMPLIANCE OFFICER; MEMBERS CORPORATION (+2 more) | — |
| SHEVLAND BRIAN C | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND ACTING CHIEF COMPLIANCE OFFICER; MEMBERS CORPORATION (+1 more) | — |
| Brian C. Shevland | CHIEF EXECUTIVE OFFICER; OWNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-03-04 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, SHEVLAND CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE MADE NEGLIGENT MISREPRESENTATIONS ABOUT THE PERFORMANCE OF TWO PRIVATE EQUITY FUNDS (THE FUNDS) TO INVESTORS. THE FINDINGS STATED THAT SHEVLAND CAUSED THE FUNDS TO INVEST MORE THAN $20… | Final | $10K |
| 2023-09-05 | regulatory | THIS DISCIPLINARY ACTION CONCERNS BLUESTONE'S VIOLATIONS OF THE FEDERAL SECURITIES LAWS IN CONNECTION WITH THE FINANCIAL STATEMENT AUDITS OF A PRIVATE FUND THAT BLUESTONE ADVISED. THE FUND IN QUESTION WAS IN LIQUIDATION. BLUESTONE FAILED TO HAVE THE REQUIRED AUDITS PERFORMED AND TIMELY DISTRIBUTE AN… | Final | $75K |