KEY CLIENT FIDUCIARY ADVISORS, LLC of FAIRFIELD, NJ is an SEC-registered investment adviser (CRD 298240). Regulatory assets under management: $896.3M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Eric Robert Fishman | MEMBER | — |
| Richard Anthony Flora | CHIEF COMPLIANCE OFFICER AND MEMBER | — |
| FISHMAN ERIC ROBERT | MEMBER | — |
| FLORA RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER AND MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-02-23 | regulatory | KEY CLIENT FAILED TO COMPLY WITH THE TERMS OF A SUPERVISORY AGREEMENT | Final | $20K |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |