THEPARTNERS WEALTH MANAGEMENT of CARMEL BY THE SEA, CA is an SEC-registered investment adviser (CRD 314816). Regulatory assets under management: $1.2B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Jeffrey Andrew Smith | CHIEF COMPLIANCE OFFICER | Humacao, PR |
| Gregory Allan Rutherford | CHIEF EXECUTIVE OFFICER / MANAGING MEMBER; MANAGER | — |
| Christopher Paul Lein | CHIEF OPERATING OFFICER | — |
| Andrew Thomas Lucich | CHIEF COMPLIANCE OFFICER | — |
| SMITH CLARENCE ANDREW | CHIEF COMPLIANCE OFFICER | — |
| RUTHERFORD GREGORY ALLAN | CHIEF COMPLIANCE OFFICER/CHIEF EXECUTIVE OFFICER / MANAGING MEMBER; CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER / MANAGING MEMBER (+2 more) | — |
| Villegas Raulin Keith | CHIEF COMPLIANCE OFFICER | — |
| POPOVICH ALEXANDER MICHAEL | CEO/ MANAGING MEMBER; MANAGER; OWNER (+3 more) | — |
| POPOVICH DEBRA FORDYCE | TRUSTEE | — |
| SCHAFFIELD BRIAN ALLAN | TRUSTEE | — |
| Popovich Debra | OWNER | — |
| KENT TREVIN RICHARD | CHIEF OPERATING OFFICER | — |
| Balas Justin | CHIEF INVESTMENT OFFICER | — |
| Gary Bruce Gordon | PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-03-10 | regulatory | THE SEC ALLEGED THAT, DURING A REGULATORY EXAMINATION OF AMERICAN PORTFOLIOS ADVISORS, INC., THE CCO PRODUCED COMPLIANCE DOCUMENTS THAT WERE CREATED AND BACKDATED TO APPEAR AS CONTEMPORANEOUS ANNUAL COMPLIANCE REVIEWS FOR PRIOR YEARS. THE SEC ALLEGED THAT, AS A SENIOR EXECUTIVE, THE RESPONDENT SIGNE… | Final | $20K |