MPI WEALTH MANAGEMENT LLC of HINSDALE, IL is an SEC-registered investment adviser (CRD 301011). Regulatory assets under management: $233.6M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Commissions.
Clients served: High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Gery Joseph Sadzewicz | CHIEF COMPLIANCE OFFICER | — |
| Matthew Donald Pequet | MANAGING MEMBER | — |
| David Wayne Pequet | CHIEF EXECUTIVE OFFICER; TRUSTEE | — |
| PEQUET DAVID WAYNE | CHIEF EXECUTIVE OFFICER; TRUSTEE | — |
| SADZEWICZ GERY JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| PEQUET MATTHEW DONALD | MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 1999-06-28 | regulatory | MPI FAILED TO DISCLOSE SOFT DOLLAR PAYMENTS WITH FORMER PARTNERS IN ITS FORM ADV OR ELSEWHERE IN A 1993-4 FILING. MPI VIOLATED SECTIONS 206(1) AND (2) OF THE ADVISERS ACT. MPI ALSO VIOLATED SECTION 207 OF AA BY FAILING TO STATE MATERIAL FACT IN REGISTRATION WITH THE COMMISSION. | Final | $111K |
| City | State | Employees | Phone |
|---|---|---|---|
| — | — | 1 | 908-433-9135 |
| — | — | 1 | 908-433-9135 |