DAKOTA WEALTH, LLC of PALM BEACH GARDENS, FL is an SEC-registered investment adviser (CRD 297987). Regulatory assets under management: $6.9B.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Peter John Raimondi | CHIEF EXECUTIVE OFFICER | — |
| Bryan Paul Keller | CHIEF STRATEGIC OFFICER; PRESIDENT | — |
| Kayla Marie Berg | CHIEF COMPLIANCE OFFICER | — |
| Leslie Arsenault Metz | CHIEF OPERATING OFFICER, GENERAL COUNSEL; GENERAL COUNSEL | — |
| Luke S Baxter | CHIEF TECHNOLOGY OFFICER | — |
| Timothy Michael Melly | CHIEF INVESTMENT OFFICER | — |
| Gregory Scott Horn | CHIEF DEVELOPMENT OFFICER | — |
| REED BRYAN MICHAEL | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICE AND MANAGING PARTNER; CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER AND MANAGING PARTNER; CHIEF OPERATING OFFICE AND MANAGING PARTNER (+1 more) | — |
| RAIMONDI PETER JOHN | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND MANAGING PARTNER; MANAGING PARTNER | — |
| MAWN PETER FRANCIS | CHIEF STRATEGIC OFFICER AND MANAGING PARTNER; ELECTED MANAGER | — |
| DESIMONE JOHN FREDERICK | CHIEF FINANCIAL OFFICER AND MANAGING PARTNER | — |
| HORN GREGORY SCOTT | CHIEF DEVELOPMENT OFFICER | — |
| DIAMOND CARINA SHIPOTOFSKY | CHIEF EXPERIENCE OFFICER; CHIEF GROWTH OFFICER | — |
| HOOD BRENDA LOURENE | CHIEF COMPLIANCE OFFICER | — |
| Rasmussen Michael Thomas | CHIEF COMPLIANCE OFFICER | — |
| Honowitz Seth | ELECTED MANAGER | — |
| Caufield Alicia | ELECTED MANAGER | — |
| KELLER BRYAN PAUL | CHIEF STRATEGIC OFFICER | — |
| Berg Kayla Marie | CHIEF COMPLIANCE OFFICER | — |
| Arsenault Metz Leslie | ASSOCIATE GENERAL COUNSEL; GENERAL COUNSEL | — |
| BAXTER LUKE S | CHIEF TECHNOLOGY OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-02-11 | regulatory | PRIOR TO HER TIME AT DAKOTA, MARILYN RIOS (FORMERLY MARILYN GENERY) WAS A REGISTERED REPRESENTATIVE OF A BROKER-DEALER, LINSCO PRIVATE LEDGER (LPL). A CLAIM AROSE IN 2017 REGARDING AN ALLEGED VIOLATION OF THE COMPANY'S DOCUMENT SIGNATURE POLICY WHILE MS. RIOS WAS WITH LPL. FINRA INVESTIGATED THE MAT… | Final | $53K |