FWG INVESTMENTS, LLC of LEXINGTON, KY is an SEC-registered investment adviser (CRD 284064). Regulatory assets under management: $349.0M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Charities, Corporations.
| Name | Role | Location |
|---|---|---|
| Christopher Lee Payne | INTERIM CCO | — |
| Matthew Michael Giggey | CHIEF COMPLIANCE OFFICER | — |
| Brian Keith Staples | CHIEF OPERATING OFFICER | — |
| Donald Eugene Bentley | MANAGING MEMBER | — |
| Jeffrey Kyle Sheppard | MANAGING MEMBER | — |
| PAYNE THOMAS LEE | INTERIM CCO | — |
| ADKINS LAWRENCE KEVIN | CHIEF INVESTMENT OFFICER & CHIEF COMPLIANCE OFFICER | — |
| METZLER GEOFFREY KEVIN | MANAGING MEMBER | — |
| METZLER PAUL GABRIEL | CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL OFFICER; CHIEF OPERATING & CHIEF COMPLIANCE OFFICER | — |
| HIGGINS ROSEANN | CHIEF COMPLIANCE OFFICER | — |
| STAPLES BRIAN KEITH | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER | — |
| BENTLEY DONALD EUGENE | MANAGING MEMBER | — |
| Sheppard Jeffrey Kyle | MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| — | regulatory | THE KENTUCKY DEPARTMENT OF FINANCIAL INSTITUTIONS ("DFI") AFTER A ROUTINE COMPLIANCE EXAMINATION OF FWG INVESTMENTS OPENED A FORMAL INVESTIGATION INTO FWG INVESTMENTS' INVESTMENT-RELATED ACTIVITIES ON JUNE 26, 2018. DFI AND FWG INVESTMENTS ENTERED INTO A PARTIAL AGREED ORDER ON APRIL 30, 2020 (THE "… | — | — |