Craig Reisfield

RIDLEY ASSET MANAGEMENT

Tiburon, CA

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CRD#: 1233053

Professional summary

Craig Reisfield, who also goes by Craig Reisfield, is a registered financial advisor currently at RIDLEY ASSET MANAGEMENT, LLC located in Tiburon, California.

Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Craig has worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Craig Reisfield

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.

Harriet Brown & Company, Inc. is a licensing business operated by members of my family. I have the position of Co-President and have been involved in this business since 1/1992. In my position I maintain the company's financials, pay invoices, and periodically oversee marketing efforts. It is a licensing business and is not investment-related. My time commitment to this business requires less than 4 hours/month and doesn't occur during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Reisfield's 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

October 11, 2007 - Present

RIDLEY ASSET MANAGEMENT, LLC

RIA

CRD#: 144735

Tiburon, CA

Past

May 2, 1996 - April 28, 1998

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 16, 1994 - February 16, 1996

L. H. ALTON & COMPANY

CRD#: 15682

SAN FRANCISCO, CA

Past

August 27, 1991 - March 24, 1994

AMERINATIONAL FINANCIAL SERVICES, INC.

CRD#: 27986

Past

April 10, 1989 - August 28, 1991

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

September 28, 1988 - March 15, 1989

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

Past

April 8, 1987 - September 1, 1988

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

March 22, 1984 - April 16, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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
(10/11/2007)

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

State Security Law Exam

IAR

Series 65

Date: 2/6/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Current Firm

RIDLEY ASSET MANAGEMENT, LLC

CRD#: 144735 / SEC#: 801-68278

RIA

Registered Investment Advisory firm - (3/16/2012 Terminated)

California

Registered Investment Advisory firm - (10/3/2011 Approved)

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).

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Contact information

Main Address

Tiburon, CA

Mailing Address

775 E Blithedale Ave. #305, Mill Valley, CA 94941-1554

Phone number

(415) 595-5583

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	18
AUM (Assets Under Management)	$ 13,895,438

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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Craig Reisfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Reisfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIDLEY ASSET MANAGEMENT, LLC

A. G. EDWARDS & SONS, INC.

L. H. ALTON & COMPANY

AMERINATIONAL FINANCIAL SERVICES, INC.

LASALLE ST SECURITIES, L.L.C.

DICKINSON & CO.

MONTGOMERY SECURITIES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 2/6/2007

Series 63

Date: 3/29/1984

Series 7

Date: 3/17/1984

Current Firm

RIDLEY ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RIDLEY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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