Tetsuo Araki

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CRD#: 1652323

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Tetsuo Araki, who also goes by Rocky Araki, was a registered financial professional .

Tetsuo is a previously registered financial professional and started their career in finance in 1988. Tetsuo had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rocky Araki

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 13, 2020 - July 12, 2021

RIVERNORTH CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122020

Hackettstown, NJ

Past

January 24, 2017 - June 8, 2020

THOMAS J. HERZFELD ADVISORS, INC.

RIA

CRD#: 108369

Hackettstown, NJ

Past

April 3, 2012 - June 9, 2016

SMBC NIKKO SECURITIES AMERICA, INC.

CRD#: 28602

NEW YORK, NY

Past

June 18, 2007 - March 22, 2012

MUFG SECURITIES AMERICAS INC.

CRD#: 19685

NEW YORK, NY

Past

October 10, 2003 - June 8, 2007

MIZUHO SECURITIES USA LLC

CRD#: 19647

NEW YORK, NY

Past

May 30, 2002 - May 21, 2003

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 30, 1996 - January 10, 1997

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

January 29, 1988 - December 22, 1995

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

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".

RIVERNORTH CAPITAL MANAGEMENT, LLC

PINNACLE FUND MANAGEMENT, INC. | RIVERNORTH CAPITAL MANAGEMENT, LLC | RIVERNORTH CAPITAL MANAGEMENT, INC.

CRD#: 122020 / SEC#: 801-61533

RIA

Registered Investment Advisory firm - (10/15/2002 Approved)

Illinois

Registered Investment Advisory firm - (10/15/2002 Terminated)

Indiana

Registered Investment Advisory firm - (10/2/2003 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/12/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/3/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/22/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/3/2013

General Securities Principal Examination

Current Firm

RIVERNORTH CAPITAL MANAGEMENT, LLC

PINNACLE FUND MANAGEMENT, INC. | RIVERNORTH CAPITAL MANAGEMENT, LLC | RIVERNORTH CAPITAL MANAGEMENT, INC.

CRD#: 122020 / SEC#: 801-61533

RIA

Registered Investment Advisory firm - (10/15/2002 Approved)

Illinois

Registered Investment Advisory firm - (10/15/2002 Terminated)

Indiana

Registered Investment Advisory firm - (10/2/2003 Terminated)

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Contact information

Main Address

360 S. Rosemary Ave Suite 1420, West Palm Beach, FL 33401

Mailing Address

Phone number

(561) 484-7185

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

RIVERNORTH FORM ADV PART 2B (3/26/2025)

RIVERNORTH FORM ADV PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 6,181,636,447

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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Firm Stability Insights

Tetsuo Araki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RIVERNORTH CAPITAL MANAGEMENT, LLC

THOMAS J. HERZFELD ADVISORS, INC.

SMBC NIKKO SECURITIES AMERICA, INC.

MUFG SECURITIES AMERICAS INC.

MIZUHO SECURITIES USA LLC

LEHMAN BROTHERS INC.

NOMURA SECURITIES INTERNATIONAL, INC.

NOMURA SECURITIES INTERNATIONAL, INC.

Primary Firm SEC Registration

RIVERNORTH CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/12/2017

Series 63

Date: 6/3/2002

SIE

Date: 6/9/2016

Series 3

Date: 6/22/1988

Series 7

Date: 2/20/1988

Series 24

Date: 12/3/2013

Current Firm

RIVERNORTH CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIVERNORTH CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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