BLACKDIAMOND WEALTH MANAGEMENT, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 291459). Regulatory assets under management: $424.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Scott Michael Ungar | CHIEF COMPLIANCE OFFICER | — |
| Sean Merideth Hollitz | MANAGING PARTNER | — |
| Kenneth E Nuttall | CHIEF INVESTMENT OFFICER | — |
| HOLLITZ SEAN MERIDETH | MANAGING MEMBER; MANAGING PARTNER | — |
| GREENWALD LAURENCE EDWARD | MANAGING MEMBER | — |
| UNGAR SCOTT MICHAEL | CHIEF COMPLIANCE OFFICER; MEMBER AND CHIEF COMPLIANCE OFFICER | — |
| Nuttall Kenneth E | CHIEF INVESTMENT OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2013-12-06 | regulatory | WHILE REGISTERED WITH A MEMBER FIRM AND IN ANTICIPATION OF HIS MOVE TO A NEW FIRM, UNGAR MOVED DOCUMENTS RELATED TO CUSTOMERS HE SERVICED FROM HIS FIRM OFFICE TO HIS HOME. THE DOCUMENTS CONTAINED PERSONAL NONPUBLIC INFORMATION AS DEFINED UNDER REG S-P OF THE SECURITIES EXCHANGE ACT OF 1934, AND UNGA… | Final | $5K |