WEALTHYX LLC of AUSTIN, TX is an SEC-registered investment adviser (CRD 172380). Regulatory assets under management: $750.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Albert Swantner | MEMBER | Austin, TX |
| Barry Bennett Mione | CCO | — |
| Oksana Mindyuk Malysheva | TRUSTEE | — |
| Mikhail Victorovich Malyshev | TRUSTEE | — |
| MIONE BARRY BENNETT | CCO | — |
| YUEN PETER | CEO AND CCO | — |
| MALYSHEVA OKSANA MINDYUK | ACTIVE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-02-19 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO SANCTIONS OF THE ENTRY OF FINDINGS THAT IT CONDUCTED A SECURITIES BUSINESS WHILE FAILING TO MAINTAIN THE MINIMUM REQUIRED NET CAPITAL. THE FINDINGS STATED THE FIRM INCURRED A PARTIAL $7500 AUDIT EXPENSE AND WHEN IT SUBSEQUENTLY CALCULA… | Final | $5K |