Christopher S. Caton

AZARIAS CAPITAL MANAGEMENT, L.P.

Berwyn, PA 19312

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CRD#: 2273100

Professional summary

Christopher Scott Caton is a registered financial advisor currently at AZARIAS CAPITAL MANAGEMENT, L.P. located in Berwyn, Pennsylvania.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Christopher has worked at 4 firms and has passed the Series 63 and Series 7 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.

ACM LLC Investment Related 1055 Westlakes Drive, Suite 300 Berwyn, PA 19312 General Partner to Private Funds Partner Start date: 05/2014 5 hrs per month Less than 1 hr per day Manage business operations of Private Funds

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Scott Caton'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

February 6, 2017 - Present

AZARIAS CAPITAL MANAGEMENT, L.P.

Office #1: 1055 Westlakes Dr Ste 305, Berwyn, PA 19312

RIA

CRD#: 174466

Berwyn, PA

Past

November 26, 2001 - August 7, 2006

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

October 30, 1997 - December 8, 2000

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

December 6, 1996 - September 15, 1997

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

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".

AZARIAS CAPITAL MANAGEMENT, L.P.

CRD#: 174466 / SEC#: 801-123447

RIA

Registered Investment Advisory firm - (3/14/2022 Approved)

Pennsylvania

Registered Investment Advisory firm - (3/23/2022 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.

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

Pennsylvania
(2/6/2017)

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

Series 63

Date: 1/25/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/5/1996

General Securities Representative Examination

Current Firm

AZARIAS CAPITAL MANAGEMENT, L.P.

CRD#: 174466 / SEC#: 801-123447

RIA

Registered Investment Advisory firm - (3/14/2022 Approved)

Pennsylvania

Registered Investment Advisory firm - (3/23/2022 Terminated)

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Contact information

Main Address

1055 Westlakes Drive Suite 300, Berwyn, PA 19312

Mailing Address

Phone number

(215) 494-3300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

AZARIAS CAPITAL MANAGEMENT L.P._FORM ADV PART 2A_03142025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 249,375,917

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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Christopher S. Caton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Scott Caton's CRS (Customer Relationship Summary).

Certified licenses

Experience

AZARIAS CAPITAL MANAGEMENT, L.P.

PRINCIPAL SECURITIES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

KEYBANC CAPITAL MARKETS INC.

Primary Firm SEC Registration

AZARIAS CAPITAL MANAGEMENT, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/25/1999

Series 7

Date: 12/5/1996

Current Firm

AZARIAS CAPITAL MANAGEMENT, L.P.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AZARIAS CAPITAL MANAGEMENT, L.P.

TRUST BUT VERIFY

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