SOFI WEALTH LLC of SAN FRANCISCO, CA is an SEC-registered investment adviser (CRD 167958). Regulatory assets under management: $2.0B.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Corporations.
| Name | Role | Location |
|---|---|---|
| Candice Lee Gilman | CHIEF COMPLIANCE OFFICER | — |
| Ryan Burke | PRESIDENT | Philadelphia, PA |
| FOLEY II CHARLES THOMAS | PRESIDENT | — |
| CARLISLE ALAN RICHARD | CHIEF COMPLIANCE OFFICER | — |
| GILMAN CANDICE LEE | CHIEF COMPLIANCE OFFICER | — |
| GARDNER JOHN DAVIS | PRESIDENT | — |
| WILLIAMS SCOTT CHANDLER | CHIEF COMPLIANCE OFFICER; PRESIDENT AND CHIEF COMPLIANCE OFFICER; PRESIDENT AND CHIEF COMPLIANCE OFFICER/MEMBER | — |
| MCDANIEL TOBIN L | PRESIDENT | — |
| ANDERSON DIMPLE | CHIEF COMPLIANCE OFFICER | — |
| KEOUGH KELLI A | PRESIDENT | — |
| BURKE RYAN | PRESIDENT | — |
| Mark Seffinger | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-08-19 | regulatory | FOLLOWING SOFI WEALTH'S APRIL 12, 2019 TRANSITION OF CERTAIN CLIENT FUNDS FROM THIRD-PARTY ETFS TO SOFI-SPONSORED ETFS, THE SEC STAFF REQUESTED DOCUMENTS AND INFORMATION FROM SOFI WEALTH, INVESTIGATING AND SEEKING DISCLOSURES BY SOFI WEALTH TO CLIENTS REGARDING THE TRANSITION OF FUNDS. SOFI WEALTH F… | Final | $300K |