ARCADIA WEALTH MANAGEMENT, INC. of SMITHTOWN, NY is an SEC-registered investment adviser (CRD 165504). Regulatory assets under management: $383.6M.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Walter Frank Wisniewski | PRESIDENT AND SENIOR WEALTH ADVISOR | — |
| Allison Marie Vanaski | CEO, SENIOR WEALTH ADVISOR, CHIEF COMPLIANCE OFFICER | — |
| WISNIEWSKI WALTER FRANK | PRESIDENT; PRESIDENT AND SENIOR WEALTH ADVISOR; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| VANASKI ALLISON MARIE | CEO, SENIOR WEALTH ADVISOR, CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER; VP OF INVESTMENTS (+1 more) | — |
| Stollberger Sara Jean | CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-09-19 | regulatory | VIOLATION RULE 206(4)-2 AND 206(4)-7 OF THE ADVISERS ACT ("ADVISERS ACT"), WHERE POLICIES AND PROCEDURES WERE NOT REASONABLY DESIGNED AND IMPLEMENTED TO ADHERE TO THE CUSTODY RULE. A SURPRISE EXAMINATION FROM AN INDEPENDENT ACCOUNTANT WAS NOT CONDUCTED FROM THE YEARS 2013 TO 2019 FOR ASSETS UNDER CU… | Final | $90K |