AWM CAPITAL, LLC of PHOENIX, AZ is an SEC-registered investment adviser (CRD 287980). Regulatory assets under management: $1.5B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Investment cos.
| Name | Role | Location |
|---|---|---|
| Justin Michael Dyer | MEMBER | Pasadena, CA |
| Brandon Lee Averill | PARTNER | — |
| Erik Daniel Averill | MEMBER | — |
| Robert Don Mcconchie | MEMBER | — |
| David Rickard Penniall | MEMBER | — |
| Debra Bellantoni Lynch | CHIEF COMPLIANCE OFFICER | — |
| PENNIALL DAVID RICKARD | MEMBER; SHAREHOLDER | — |
| DYER JUSTIN MICHAEL | CHIEF INVESTMENT OFFICER; MEMBER | — |
| AVERILL BRANDON LEE | MANAGING MEMBER; PARTNER; PARTNER, CCO | — |
| AVERILL ERIK DANIEL | MEMBER | — |
| MCCONCHIE ROBERT DON | MEMBER; MEMBER AND CHIEF COMPLIANCE OFFICER | — |
| AVERILL ANNE PENNIALL | CHIEF INVESTMENT OFFICER; INVESTMENT CONSULTANT | — |
| LYNCH DEBRA BELLANTONI | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2013-08-05 | regulatory | FAILURE TO COMPLETE THE REGISTRATION PROCESS OR WITHDRAW THE APPLICATION LEADING TO A NOTICE OF DENIAL OF REGISTRATION. | Final | — |