FELTL ADVISORS, LLC of PLYMOUTH, MN is an SEC-registered investment adviser (CRD 165244). Regulatory assets under management: $165.6M.
Compensation: % of AUM, Fixed, Other.
Clients served: Individuals, High net worth, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Mary Joanne Feltl | PRESIDENT | — |
| John Christopher Feltl | CEO, TRUSTEE OF JCF TRUST | — |
| Mitchell Jay Edwards | COO, CORPORATE SECRETARY | — |
| Dirk Garret Van Krevelen | CCO | — |
| SCHIERMAN MICHAEL BERNARD | CFO, TRUSTEE OF MARY JOANNE FELTL IRREVOCABLE JCF TRUST | — |
| EDWARDS MITCHELL JAY | CCO, CORPORATE SECRETARY; COO, CORPORATE SECRETARY | — |
| FELTL MARY JOANNE | PRESIDENT | — |
| FELTL JOHN CHRISTOPHER | CEO; CEO, TRUSTEE OF JCF TRUST | — |
| VAN KREVELEN DIRK GARRET | CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-06-11 | regulatory | IN ITS JUNE 11, 2021 ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS THE SEC FOUND THAT; 1.FELTL ADVISORS, LLC ("FA"), A REGISTERED INVESTMENT ADVISER, BREACHED ITS FIDUCIARY DUTY IN CONNECTION WITH THE MUTUAL FUNDS IT RECOMMENDED FOR CLIENTS THAT RESULTED IN CERTAIN FINANCIAL BENEFITS FOR FELTL'S AFFI… | Final | $334K |
| — | regulatory | — | — | — |