Joseph D. Fondacaro

SEVEN HILLS CAPITAL ADVISORS

Cincinnati, OH 45242

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CRD#: 2407635

Professional summary

Joseph Daniel Fondacaro JR, who also goes by Joseph Daniel Fondacaro, is a registered financial advisor currently at SEVEN HILLS CAPITAL ADVISORS located in Cincinnati, Ohio.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Joseph has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Daniel Fondacaro

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 Joseph Daniel Fondacaro JR'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

March 20, 2015 - Present

SEVEN HILLS CAPITAL ADVISORS

Office #1: 9380 Main Street, #4, Cincinnati, OH 45242

RIA

CRD#: 175280

Cincinnati, OH

Past

June 29, 2017 - October 20, 2020

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Cincinnati, OH

Past

February 11, 2009 - May 20, 2015

MAIN STREET FAMILY ADVISORS, INC.

RIA

CRD#: 139121

SHARONVILLE, OH

Past

January 9, 2009 - June 30, 2017

TRIAD ADVISORS LLC

CRD#: 25803

CINCINNATI, OH

Past

July 11, 2005 - January 9, 2009

HORAN SECURITIES, INC.

RIA

CRD#: 40794

CINCINNATI, OH

Past

August 11, 2000 - January 9, 2009

HORAN SECURITIES, INC.

CRD#: 40794

CINCINNATI, OH

Past

January 3, 1997 - March 11, 1997

ONE ORCHARD EQUITIES, INC.

CRD#: 42124

GREENWOOD VILLAGE, CO

Past

December 5, 1996 - September 29, 1998

HORAN SECURITIES, INC.

CRD#: 40794

CINCINNATI, OH

Past

January 13, 1995 - March 4, 1997

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

December 7, 1993 - March 7, 1997

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

October 19, 1993 - January 3, 1997

THE GREAT-WEST LIFE ASSURANCE COMPANY

CRD#: 5927

ENGLEWOOD, CO

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".

SEVEN HILLS CAPITAL ADVISORS

SEVEN HILLS CAPITAL ADVISORS | SEVEN HILLS CAPITAL ADVISORS, LLC | SEVEN HILLS CAPITAL ADVISORS LLC

CRD#: 175280 / SEC#: 801-132550

RIA

Registered Investment Advisory firm - (4/28/2025 Approved)

Ohio

Registered Investment Advisory firm - (4/30/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/29/2025 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

Ohio
(3/20/2015)

IAR

Texas
(1/30/2024)

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: 6/25/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 6/29/2012

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/18/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SEVEN HILLS CAPITAL ADVISORS

SEVEN HILLS CAPITAL ADVISORS | SEVEN HILLS CAPITAL ADVISORS, LLC | SEVEN HILLS CAPITAL ADVISORS LLC

CRD#: 175280 / SEC#: 801-132550

RIA

Registered Investment Advisory firm - (4/28/2025 Approved)

Ohio

Registered Investment Advisory firm - (4/30/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/29/2025 Terminated)

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Contact information

Main Address

9380 Main Street, #4, Cincinnati, OH 45242

Mailing Address

Phone number

(513) 515-3135

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEVEN HILLS CAPITAL FORM ADV PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	367
AUM (Assets Under Management)	$ 113,366,292

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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Advisor Monitoring

Firm Stability Insights

Joseph D. Fondacaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Daniel Fondacaro JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MAIN STREET FAMILY ADVISORS, INC.

TRIAD ADVISORS LLC

HORAN SECURITIES, INC.

HORAN SECURITIES, INC.

ONE ORCHARD EQUITIES, INC.

HORAN SECURITIES, INC.

VOYA FINANCIAL PARTNERS, LLC

EMPOWER FINANCIAL SERVICES, INC.

THE GREAT-WEST LIFE ASSURANCE COMPANY

Primary Firm SEC Registration

SEVEN HILLS CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/2005

Series 63

Date: 5/3/1994

SIE

Date: 10/1/2018

Series 22

Date: 6/29/2012

Series 6

Date: 10/18/1993

Current Firm

SEVEN HILLS CAPITAL ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEVEN HILLS CAPITAL ADVISORS

TRUST BUT VERIFY

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