SEVEN HILLS CAPITAL ADVISORS of CINCINNATI, OH is an SEC-registered investment adviser (CRD 175280). Regulatory assets under management: $130.0M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Joseph Daniel Fondacaro | CCO AND MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-11-08 | regulatory | STATE OF KENTUCKY ALLEGED THAT FIRM & ADVISOR PROVIDED ADVISORY SERVICES TO CLIENTS IN STATE WITHOUT BEING CORRECTLY REGISTERED | Final | $2K |
| 2012-04-01 | regulatory | APPLIED FOR KENTUCKY LIFE INSURANCE/ANNUITY LICENSE. KENTUCKY REQUESTED COPY OF OHIO LICENSE. I NO LONGER NEEDED TO BE LICENSED IN KENTUCKY AND ABANDONED THE APPLICATION. KENTUCKY DEEMED THE FAILURE TO RESPOND AS A DENIAL. | Final | — |