FSAM LLC of ALPHARETTA, GA is an SEC-registered investment adviser (CRD 287851). Regulatory assets under management: $138.4M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| William Heath Hawk | PRESIDENT/CEO/MANAGING PARTNER | — |
| Vasileios Alexios Sfyris | MANAGING PARTNER | — |
| Brent Taylor Williams | CHIEF COMPLIANCE OFFICER | — |
| John Michael Holman | COO | — |
| CALABRO MATHEW JOHN | INTERIM CCO | — |
| HOLMAN JOHN MICHAEL | CCO; COO | — |
| SFYRIS VASILEIOS ALEXIOS | MANAGING PARTNER | — |
| HAWK WILLIAM HEATH | PRESIDENT/CEO/MANAGING PARTNER | — |
| EILER BENJAMIN THOMAS | MANAGING PARTNER | — |
| WILLIAMS BRENT TAYLOR | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-12-04 | regulatory | THE DIVISION CONCLUDED THAT FIRST SOUTHERN FAILED TO ENSURE ITS AGENT WAS REGISTERED WITH MASSACHUSETTS PRIOR TO TRANSACTING SECURITIES BUSINESS WITH A MASSACHUSETTS CUSTOMER IN VIOLATION OF THE ACT AND REGULATIONS | Final | $20K |
| 2024-03-26 | regulatory | DURING THE EXAMINATION PERIOD OF AUGUST 9, 2017, TO JULY 31, 2023, FIRST SOUTHERN INCURRED IN THE FOLLOWING VIOLATIONS: A.FAILURE TO ADOPT A WRITTEN PROTOCOL OR PROCEDURES REGARDING FINANCIAL EXPLOITATION OF SPECIFIED ADULTS. B.FAILURE TO PROMPTLY AMEND THE FIRM WRITTEN SUPERVISORY PROCEDURES. C.UNS… | Final | $70K |
| 2016-11-11 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM EFFECTED MUNICIPAL BONDS TRANSACTIONS IN THE AMOUNTS BELOW THE MININUM DEONIMATION SET FOR THE BONDS BEING SOLD. THE FINDINGS STATED THAT THE FIRM FAILED TO DISCLOSE TO CUSTOMERS… | Final | $25K |
| — | regulatory | — | — | — |