BR
Bruce J. Raabe
RELEVANT WEALTH ADVISORS
Mill Valley, CA 94941
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CRD#: 2268947
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Professional summary
Bruce Jon Raabe is a registered financial advisor currently at RELEVANT WEALTH ADVISORS, LLC located in Mill Valley, California.
Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Bruce has worked at 1 firm and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 87, Series 16, Series 7, Series 10, Series 9, Series 27, Series 14, Series 12, Series 4, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Mr. Raabe acts as trustee for a number of accounts held at Relevant Wealth Advisors. These include trusts that Mr. Raabe set up for his family members (children, niece and nephew). These also include acting as trustee for the Butts Supplemental Needs Trust and as trustee for a non-profit foundation: The Stanley Smith Horticultural Trust. The Stanley Smith Horticultural Trust makes grants to botanical gardens. HTTP://WWW.ADMINITRUSTLLC.COM/STANLEY-SMITH-HORTICULTURAL-TRUST/ . Mr. Raabe spends approximately 4 hours per month on these trustee activities. Mr. Raabe also acts as a Board Trustee for the Marin County Employees' Retirement Plan.
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Jon Raabe'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
December 15, 2003 - Present
RELEVANT WEALTH ADVISORS, LLC
Office #1: 2 Belvedere Place Ste 350, Mill Valley, CA 94941RIA
CRD#: 1489
Mill Valley, CA
Past
September 4, 1992 - August 4, 2021
RELEVANT WEALTH ADVISORS, LLC
BD
CRD#: 1489
Mill Valley, CA
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".
RELEVANT WEALTH ADVISORS, LLC
COLLINS & CO. | RELEVANT WEALTH ADVISORS, LLC | RELEVANT WEALTH & INSURANCE SERVICES, LLC | RELEVANT WEALTH | COLLINS & COMPANY, LLC
CRD#: 1489 / SEC#: 801-56354, 8-14903
RIA
Registered Investment Advisory firm - SEC (4/12/1999 Approved)BD
Terminated by SEC on 10/01/2021
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(12/15/2003)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 10/2/1996
NYSE Branch Manager ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
RELEVANT WEALTH ADVISORS, LLC
COLLINS & CO. | RELEVANT WEALTH ADVISORS, LLC | RELEVANT WEALTH & INSURANCE SERVICES, LLC | RELEVANT WEALTH | COLLINS & COMPANY, LLC
CRD#: 1489 / SEC#: 801-56354, 8-14903
RIA
Registered Investment Advisory firm - SEC (4/12/1999 Approved)BD
Terminated by SEC on 10/01/2021
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Contact information
Main Address
2 Belvedere Place Ste 350, Mill Valley, CA 94941
Mailing Address
Phone number
(415) 925-4000
Established
California since 07/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
4
SEC notice filing (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAABE, BRUCE JON | CHIEF COMPLIANCE OFFICER, CEO, CFO & MANAGING MEMBER | 2268947 |
Regulatory assets under management
| Total Number of Accounts | 41 |
| AUM (Assets Under Management) | $ 681,532,553 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RELEVANT WEALTH ADVISORS, LLC
CRD#: 1489Mill Valley, CA 94941TRUST BUT VERIFY
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