Marc A. Roth

ATLAS CAPITAL ADVISORS

San Francisco, CA 94129

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CRD#: 1024631

Professional summary

Marc Allen Roth, who also goes by Marc A Roth, is a registered financial advisor currently at ATLAS CAPITAL ADVISORS INC. located in San Francisco, California.

Marc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Marc has worked at 6 firms and has passed the Series 15 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marc A Roth

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Allen Roth's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 30, 2019 - Present

ATLAS CAPITAL ADVISORS INC.

Office #1: 38 Keyes Ave Suite 200, San Francisco, CA 94129

RIA

CRD#: 127036

San Francisco, CA

Past

June 14, 1994 - August 21, 2019

JMR CAPITAL MANAGEMENT INC

RIA

CRD#: 138425

SAN FRANCISCO, CA

Past

November 3, 1988 - August 5, 1994

PERSHING LLC

CRD#: 7560

Past

August 18, 1987 - October 7, 1988

MABON, NUGENT & CO.

CRD#: 2617

Past

December 2, 1983 - August 21, 1987

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

December 24, 1981 - December 2, 1983

E. F. HUTTON & COMPANY INC

CRD#: 235

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ATLAS CAPITAL ADVISORS INC.

ATLAS CAPITAL ADISORS | ATLAS CAPITAL ADVISORS LLC | ATLAS CAPITAL ADVISORS INC.

CRD#: 127036 / SEC#: 801-66544

RIA

Registered Investment Advisory firm - (5/3/2006 Approved)

California

Registered Investment Advisory firm - (5/22/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/30/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 15

Date: 6/6/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 12/19/1981

General Securities Representative Examination

Current Firm

ATLAS CAPITAL ADVISORS INC.

ATLAS CAPITAL ADISORS | ATLAS CAPITAL ADVISORS LLC | ATLAS CAPITAL ADVISORS INC.

CRD#: 127036 / SEC#: 801-66544

RIA

Registered Investment Advisory firm - (5/3/2006 Approved)

California

Registered Investment Advisory firm - (5/22/2006 Terminated)

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Contact information

Main Address

38 Keyes Ave Suite 200, San Francisco, CA 94129

Mailing Address

Phone number

(415) 354-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ATLAS CAPITAL ADVISORS LLC (3/31/2025)

Regulatory assets under management

Total Number of Accounts	481
AUM (Assets Under Management)	$ 1,054,159,676

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/13/2025	Cover Page	Report
03/08/2024	Cover Page	Report
02/15/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Marc A. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Allen Roth's CRS (Customer Relationship Summary).

Certified licenses

Experience

JMR CAPITAL MANAGEMENT INC

PERSHING LLC

MABON, NUGENT & CO.

L. F. ROTHSCHILD & CO. INCORPORATED

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

ATLAS CAPITAL ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 15

Date: 6/6/1984

Series 7

Date: 12/19/1981

Current Firm

ATLAS CAPITAL ADVISORS INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ATLAS CAPITAL ADVISORS INC.

TRUST BUT VERIFY

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