Breton Co

Breton Co

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105 Atsion Road Stes B&D

Medford, NJ 8055

609-654-1212

bretonco.com

No. advisers: 4

AUM: $136,325,085

Asset Breakdown

Staff
Employees 4
Clients
High-net-worth individuals 26-50%
Financial planning clients 26-50
High-net-worth client assets Up to 75%
Compensation
Percentage of assets under management Yes
Hourly charges Yes
Subscription fees No
Fixed fees No
Commissions No
Performance-based fees No
Total AUM Total Accounts Avg. Account AUM
Discretionary $0 0 $0
Non-discretionary 136325085 38 $3,587,502
Total $136,325,085 38 $3,587,502

RIA adviser gets two years in prison for cherry-picking trades

June 26, 2017 - Michael J. Breton, an adviser at a Waltham, Mass.-based registered investment adviser, has been sentenced to two years in prison and two years of supervised release, and ordered to forfeit $1.33 million and pay restitution in the same amount in a criminal...

Adviser banned for cherry picking trades to reward himself over clients

January 26, 2017 - A Massachusetts investment adviser charged with securities fraud has agreed to be banned from the securities industry after the Securities and Exchange Commission uncovered an illegal cherry-picking stock scheme. The SEC filed fraud charges Wednesday...

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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*Methodology:InvestmentNews qualified 2,206 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of May 1, 2019. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after January 1, 2018, (2) total AUM is at least $100M, (3) does not have employees who are registered representatives of a broker-dealer, (4) provided investment advisory services to clients during its most recently completed fiscal year, (5) no more than 50% of amount of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies), (6) no more than 25% of amount of regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants), (7) no more than 25% of amount of regulatory assets under management is attributable to corporations or other businesses, (8) does not receive commissions, (9) provides financial planning services, (10) is not actively engaged in business as a broker-dealer (registered or unregistered), (11) is not actively engaged in business as a registered representative of a broker-dealer, (12) has neither a related person who is a broker-dealer/municipal securities dealer/government securities broker or dealer (registered or unregistered) not one who is an insurance company or agency.

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