RIDGEGATE ADVISORS, LLC of ENGLEWOOD, CO is an SEC-registered investment adviser (CRD 334233). Regulatory assets under management: $119.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| George Wallace Smith | CEO/CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| — | regulatory | PRIOR TO REGISTERING RIDGEGATE AS AN INVESTMENT ADVISORY FIRM, ON OCTOBER 2, 2008 RIDGEGATE'S PRESIDENT G. WALLACE SMITH, III ENTERED INTO AN ADMINISTRATIVE PROCEEDING WITH THE COLORADO DIVISION OF SECURITIES. THE DIVISION ALLEGED THAT MR. SMITH HAD ENTERED INTO A LOAN AGREEMENT (REPAID IN FULL) WIT… | — | — |