ATLAS FINANCIAL ADVISORS, INC. of OROVILLE, CA is an SEC-registered investment adviser (CRD 160276). Regulatory assets under management: $46.9M.
Compensation: % of AUM, Hourly, Subscription.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Corporations.
| Name | Role | Location |
|---|---|---|
| Arthur Cole Garcia | PRESIDENT/CHIEF COMPLIANCE OFFICER | Oroville, CA |
| GARCIA ARTHUR COLE | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-12-10 | regulatory | ATLAS WILLFULLY VIOLATED THE BOOKS AND RECORDS AND MARKETING RULE PROVISIONS OF SECTIONS 204 AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULES 204-2(A), 206(4)-1(A), 206(4)-1(D), AND 206(4)-7 THEREUNDER. WITHOUT ADMITTING OR DENYING THE ORDER'S FINDINGS, ATLAS CONSENTED TO A CEASE-AND-DESI… | Final | $175K |
| 2024-12-10 | regulatory | WITHOUT ADMITTING OR DENYING THE ORDER'S FINDINGS, ATLAS CONSENTED TO A CEASE-AND-DESIST ORDER, A CENSURE TO COMPLY WITH UNDERTAKINGS TO REVIEW AND UPDATE ITS POLICIES AND PROCEDURES AND TO ENSURE ITS ADVERTISEMENTS COMPLY WITH THE MARKETING RULE, AND A CIVIL PENALTY OF $175,000. THE ORDER CLAIMS AT… | Final | $175K |