Adam M. Aron

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CRD#: 2618729

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.

Adam Michael Aron was a registered financial professional .

Adam is a previously registered financial professional and started their career in finance in 2000. Adam had worked at 5 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

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®

CRD#: 46237

SAN FRANCISCO, 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".

GILDER GAGNON HOWE & CO. LLC

GGHC | GILDER, GAGNON & CO., INC. | GILDER, GAGNON & CO. | GILDER GAGNON HOWE & CO. LLC | GILDER GAGNON HOWE & CO

CRD#: 2002 / SEC#: 801-65667, 8-30196

RIA

Registered Investment Advisory firm - SEC (1/27/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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

Series 63

Date: 10/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/10/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/17/2000

General Securities Representative Examination

Current Firm

GILDER GAGNON HOWE & CO. LLC

GGHC | GILDER, GAGNON & CO., INC. | GILDER, GAGNON & CO. | GILDER GAGNON HOWE & CO. LLC | GILDER GAGNON HOWE & CO

CRD#: 2002 / SEC#: 801-65667, 8-30196

RIA

Registered Investment Advisory firm - SEC (1/27/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

475 Tenth Avenue 12th Floor, New York, NY 10018-1120

Mailing Address

475 Tenth Avenue, New York, NY 10018

Phone number

(212) 765-2500

Established

New York since 01/04/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GGHC FORM ADV PART 2A (3/24/2025)

GGHC FORM ADV PART 2A WRAP FEE PROGRAM BROCHURE (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
HOWE, DAVID STEWART	MANAGING MEMBER	812707
RIZAVI, SHAIZA MARIAM	CHIEF EXECUTIVE OFFICER / MANAGING MEMBER	2874858
ANDERSON, TRAVIS KNAPP	MANAGING MEMBER	853424
DEUTSCH, JAMES MICHAEL	CHIEF EXECUTIVE OFFICER/MANAGING MEMBER	4565264
MCCORMICK, MICHAEL PATRICK	MEMBER	1857693
ALI, SHAFQAT	CHIEF INFORMATION SECURITY OFFICER/MEMBER	6009773
ESPOSITO, LAURA MICHELE	CHIEF COMPLIANCE OFFICER	6727167
HUYNH, DAVID CO	CHIEF FINANCIAL OFFICER	5443515

Regulatory assets under management

Total Number of Accounts	8,767
AUM (Assets Under Management)	$ 11,604,602,601

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
09/20/2024	Cover Page	Report
11/10/2023	Cover Page	Report
12/15/2022	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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Advisor Monitoring

Firm Stability Insights

Adam M. Aron

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIZENS JMP SECURITIES, LLC

SCHOTTENFELD GROUP LLC

PIPER SANDLER & CO.

THOMAS WEISEL PARTNERS LLC

Primary Firm SEC Registration

GILDER GAGNON HOWE & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/28/2000

SIE

Date: 1/9/2018

Series 55

Date: 5/10/2006

Series 7

Date: 10/17/2000

Current Firm

GILDER GAGNON HOWE & CO. LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

GILDER GAGNON HOWE & CO. LLC

TRUST BUT VERIFY

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