RK
Robert S. Kaspar
CORIENT
Naples, FL 34109
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CRD#: 1565602
RK
Professional summary
Robert Stephen Kaspar, who also goes by Robert S Kaspar, is a registered financial advisor currently at CORIENT located in Naples, Florida.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Robert has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert S Kaspar
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.
Name of Business: Ball State University Investment-related: Yes Address: 2800 West Bethel Avenue, Muncie, IN 47304 Nature of Business: University Foundation to support Ball State University Position: Director Start date: November 2023 Hours/Month: 1.5 days per quarter Hours/Month During Security Trading Hours: 1.5 days per quarter Duties: I serve as director of the foundation business, leadership with the Finance and Investment Committee, overseeing investment performance, asset allocation, budgeting, and fundraising. Name of Business: National Advisors Holdings Investment-related: Yes Address: 800 E 101st Terrance, Suite 300, Kansas City, MO 64131 Nature of Business: Position: Chairman of the Board of Directors Start date: 04/2029 Hours/Month: 10 Hours/Month During Security Trading Hours: Duties: Oversight of independent trust company serving RIAs across the U.S.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Stephen Kaspar'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®
NoneExperience
Current
October 31, 2023 - Present
CORIENT
Office #1: 1415 Panther Lane Ste 237, Naples, FL 34109Office #2: 500 E 96th St Suite 450, Indianapolis, IN 46240RIA
CRD#: 319448
Naples, FL
Past
August 18, 2009 - October 13, 2023
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
ORANGE, CA
Past
December 29, 2000 - November 13, 2023
WINDSOR WEALTH MANAGEMENT, INC.
RIA
CRD#: 105279
Naples, FL
Past
August 28, 2000 - August 18, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
INDIANAPOLIS, IN
Past
May 24, 1999 - February 22, 2000
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
March 7, 1997 - June 6, 1997
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
August 22, 1989 - July 16, 1996
IRWIN UNION SECURITIES
BD
CRD#: 18415
COLUMBUS, IN
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".
CO
CORIENT
BALASA DINVERNO & FOLTZ | WINDSOR WEALTH MANGMENT | RGT WEALTH ADVISORS | REGENTATLANTIC | R.H. BLUESTEIN & CO | PORTOLA PARTNERS GROUP | PORTOLA PARTNERS | NTERCONTINENTAL WEALTH ADVISORS | MCCUTCHEN WEALTH MANAGEMENT | MCCUTCHEN GROUP | MATRIX CAPITAL ADVISORS | GOFEN AND GLOSSBERG | GALAPAGOS WEALTH MANAGEMENT | DOYLE WEALTH MANAGEMENT | DOWLING & YAHNKE WEALTH ADVISORS | CORIENT PRIVATE WEALTH LLC | CORIENT CAPITAL PARTNERS | CORIENT | CI SUREVEST PRIVATE WEALTH | CI STAVIS & COHEN PRIVATE WEALTH | CI SEGALL BRYANT & HAMILL PRIVATE WEALTH | CI ROOSEVELT PRIVATE WEALTH | CI RGT PRIVATE WEALTH | CI REGENTATLANTIC PRIVATE WEALTH | CI RADNOR PRIVATE WEALTH | CI PRIVATE WEALTH, LLC | CI PRIVATE WEALTH | CI PORTOLA PRIVATE WEALTH | CI MCCUTCHEN PRIVATE WEALTH | CI MATRIX PRIVATE WEALTH | CI KORE PRIVATE WEALTH | CI INVERNESS PRIVATE WEALTH | CI GOFEN & GLOSSBERG PRIVATE WEALTH | CI GALAPAGOS PRIVATE WEALTH | CI EATON PRIVATE WEALTH | CI DOYLE PRIVATE WEALTH | CI DOWLING & YAHNKE PRIVATE WEALTH | CI CORIENT PRIVATE WEALTH | CI COLUMBIA PACIFIC PRIVATE WEALTH | CI BUDROS RUHLIN ROE PRIVATE WEALTH | CI BRIGHTWORTH PRIVATE WEALTH | CI BOWLING PRIVATE WEALTH | CI BLUESTEIN PRIVATE WEALTH | CI BDF PRIVATE WEALTH | CI BDF | CI BARRETT PRIVATE WEALTH | CI AVALON PRIVATE WEALTH | BUDROS, RUHLIN & ROE | BRR | BOWLING PORTFOLIO MANGEMENT
CRD#: 319448 / SEC#: 801-124978
RIA
Registered Investment Advisory firm - (5/12/2022 Approved)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
Florida(11/3/2023)
IAR
Indiana(10/31/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
CO
CORIENT
BALASA DINVERNO & FOLTZ | WINDSOR WEALTH MANGMENT | RGT WEALTH ADVISORS | REGENTATLANTIC | R.H. BLUESTEIN & CO | PORTOLA PARTNERS GROUP | PORTOLA PARTNERS | NTERCONTINENTAL WEALTH ADVISORS | MCCUTCHEN WEALTH MANAGEMENT | MCCUTCHEN GROUP | MATRIX CAPITAL ADVISORS | GOFEN AND GLOSSBERG | GALAPAGOS WEALTH MANAGEMENT | DOYLE WEALTH MANAGEMENT | DOWLING & YAHNKE WEALTH ADVISORS | CORIENT PRIVATE WEALTH LLC | CORIENT CAPITAL PARTNERS | CORIENT | CI SUREVEST PRIVATE WEALTH | CI STAVIS & COHEN PRIVATE WEALTH | CI SEGALL BRYANT & HAMILL PRIVATE WEALTH | CI ROOSEVELT PRIVATE WEALTH | CI RGT PRIVATE WEALTH | CI REGENTATLANTIC PRIVATE WEALTH | CI RADNOR PRIVATE WEALTH | CI PRIVATE WEALTH, LLC | CI PRIVATE WEALTH | CI PORTOLA PRIVATE WEALTH | CI MCCUTCHEN PRIVATE WEALTH | CI MATRIX PRIVATE WEALTH | CI KORE PRIVATE WEALTH | CI INVERNESS PRIVATE WEALTH | CI GOFEN & GLOSSBERG PRIVATE WEALTH | CI GALAPAGOS PRIVATE WEALTH | CI EATON PRIVATE WEALTH | CI DOYLE PRIVATE WEALTH | CI DOWLING & YAHNKE PRIVATE WEALTH | CI CORIENT PRIVATE WEALTH | CI COLUMBIA PACIFIC PRIVATE WEALTH | CI BUDROS RUHLIN ROE PRIVATE WEALTH | CI BRIGHTWORTH PRIVATE WEALTH | CI BOWLING PRIVATE WEALTH | CI BLUESTEIN PRIVATE WEALTH | CI BDF PRIVATE WEALTH | CI BDF | CI BARRETT PRIVATE WEALTH | CI AVALON PRIVATE WEALTH | BUDROS, RUHLIN & ROE | BRR | BOWLING PORTFOLIO MANGEMENT
CRD#: 319448 / SEC#: 801-124978
RIA
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Contact information
Main Address
830 Brickell Plaza Suite 4800, Miami, FL 33131
Mailing Address
830 Brickell Plaza Suite 4800, Miami, FL 33131
Phone number
(305) 735-2020
Established
Firm type
Fiscal year end
# of Employees
1,181
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 109,685 |
| AUM (Assets Under Management) | $ 143,628,532,902 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/28/2024 | ||
| 10/27/2023 | ||
| 05/03/2023 |
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.
