VICTRIX INVESTMENT ADVISORS LLC of STUART, FL is an SEC-registered investment adviser (CRD 167517). Regulatory assets under management: $343.3M.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| William D Thompson | OWNER AND CHIEF COMPLIANCE OFFICER | — |
| THOMPSON STEPHEN D | OWNER AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-09-16 | regulatory | THE STATE OF FLORIDA CONDUCTED AN EXAMINATION OF VICTRIX. UPON CONCLUSION, THE STATE OF FLORIDA NOTIFIED VICTRIX OF CERTAIN DEFICIENCIES THAT WERE UNCOVERED IN ITS EXAMINATION RELATED TO CERTAIN OF ITS DISCLOSURE, COMPLIANCE, AND ACCOUNT. | Final | $10K |