Michael Eugene Rome
Professional Summary
Michael Eugene Rome, who also goes by Mike Rome, is a registered financial advisor currently at DOLIVER ADVISORS, L.P. located in Houston, Texas. Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Michael has worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mike Rome
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
DEEP DISCOUNT ADVISORS INC | DOLIVER PRIVATE OPPORTUNITY FUND I GP, LP (RELYING ADVISOR) | DOLIVER CAPITAL ADVISORS, L.P. | DOLIVER CAPITAL ADVISORS, INC. | DOLIVER ADVISORS, L.P. | DOLIVER
Contact Information
Main Address
6363 Woodway Dr Suite 763, Houston, TX 77057Phone Number
(713) 917-0022# of Employees
8SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
237AUM (Assets Under Management)
$718,423,398Similar Advisors
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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.
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Primary Firm SEC Registration
DEEP DISCOUNT ADVISORS INC | DOLIVER PRIVATE OPPORTUNITY FUND I GP, LP (RELYING ADVISOR) | DOLIVER CAPITAL ADVISORS, L.P. | DOLIVER CAPITAL ADVISORS, INC. | DOLIVER ADVISORS, L.P. | DOLIVER
State Registrations and Notice Filings
(5/26/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Eugene Rome's CRS (Customer Relationship Summary).
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