SCOTTSDALE WEALTH PLANNING, INC. of SCOTTSDALE, AZ is an SEC-registered investment adviser (CRD 169248). Regulatory assets under management: $171.5M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Paul Christopher Ohanian | FOUNDER, CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER | — |
| OHANIAN PAUL CHRISTOPHER | FOUNDER & CHIEF COMPLIANCE OFFICER; FOUNDER, CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-10-08 | regulatory | OMITTED MATERIAL FACTS FROM DISCUSSIONS WITH POOL PARTICIPANTS REGARDING A COMMODITIES POOL ("POOL"), WHERE THERE WAS CONCEALMENT OF SIGNIFICANT LOSSES TO INVESTORS BY DELAYING THE DELIVERY OF STATEMENTS TO POOLED PARTICIPANTS, NOT ALLOWING OPPORTUNITY TO INVESTORS TO LIQUIDATE TIMELY. FAILURE TO RE… | Final | $169K |