Adam B. Stern

XO CAPITAL LLC

Malibu, CA

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CRD#: 2373185

Professional summary

Adam Bryan Stern is a registered financial advisor currently at XO CAPITAL LLC located in Malibu, California.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Adam has worked at 3 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 30 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Bryan Stern's CRS (Customer Relationship Summary).

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

January 11, 2022 - Present

XO CAPITAL LLC

RIA

CRD#: 316320

Malibu, CA

Past

August 27, 1997 - August 10, 2001

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 8, 1993 - August 7, 1997

UBS SECURITIES LLC

CRD#: 7654

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".

XO CAPITAL LLC

CRD#: 316320 / SEC#: 801-122473

RIA

Registered Investment Advisory firm - (10/8/2021 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

California
(1/11/2022)

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: 1/22/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/17/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 1/8/2020

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/7/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 1/8/2020

NFA Branch Manager Examination

Current Firm

XO CAPITAL LLC

CRD#: 316320 / SEC#: 801-122473

RIA

Registered Investment Advisory firm - (10/8/2021 Approved)

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Contact information

Main Address

Los Angeles, CA

Mailing Address

Phone number

(310) 507-7957

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

XO ADV 2A OTAA 7.11.2025 (7/11/2025)

Regulatory assets under management

Total Number of Accounts	171
AUM (Assets Under Management)	$ 186,624,186

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
04/15/2024	Cover Page	Report
08/01/2023	Cover Page	Report

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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Adam B. Stern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Bryan Stern's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEUTSCHE BANK SECURITIES INC.

UBS SECURITIES LLC

Primary Firm SEC Registration

XO CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/22/2021

Series 63

Date: 9/17/1993

Series 3

Date: 1/8/2020

Series 7

Date: 9/7/1993

Series 30

Date: 1/8/2020

Current Firm

XO CAPITAL LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

XO CAPITAL LLC

TRUST BUT VERIFY

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