ALIGHT FINANCIAL ADVISORS, LLC of CHARLOTTE, NC is an SEC-registered investment adviser (CRD 158744). Regulatory assets under management: $35.1B.
Compensation: % of AUM, Fixed, Other.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Jeremy Jason Fritz | CHIEF EXECUTIVE OFFICER / MANAGING MEMBER | — |
| Matthew Adam Chotkowski | CHIEF COMPLIANCE OFFICER | — |
| CHOTKOWSKI MATTHEW ADAM | CHIEF COMPLIANCE OFFICER | — |
| FRITZ JASON | CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER/ MANAGING MEMBER; CHIEF EXECUTIVE OFFICER / MANAGING MEMBER | — |
| PARRY WILLIAM SCOTT | CHIEF EXECUTIVE; CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER/MANAGING MEMBER | — |
| VAN GINHOVEN PAUL SCOTT | CHIEF COMPLIANCE OFFICER | — |
| HAGY PAUL ALLEN | MANAGER, TREASURER, VICE PRESIDENT; MANAGER, TREASURER, VICE PRESIDENT/MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-07-18 | regulatory | FAILED TO FILE NAME CHANGE DOCUMENTS REALTED TO NAME CHANGE FROM HEWITT SOLUTIONS | Final | $500 |
| 2008-01-03 | regulatory | SEC RULES 15C3-1, 17A-3, 17A-5, FINRA RULES 2110, 3110(A) - APPLICANT USED THE MAILS OR OTHER MEANS OR INSTRUMENTALITIES OF INTERSTATE COMMERCE TO EFFECT TRANSACTIONS IN SECURITIES WHEN IT FAILED TO MAINTAIN SUFFICIENT NET CAPITAL. THE FINDINGS STATED THAT APPLICANT FAILED TO PREPARE ACCURATE BOOKS… | Final | $9K |