Daniel C. Shane

ESSEX ASSET ADVISORS

Ivoryton, CT 06442

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CRD#: 2671683

Professional summary

Daniel Christopher Shane, who also goes by Daniel Shane, is a registered financial advisor currently at ESSEX ASSET ADVISORS INC. located in Ivoryton, Connecticut.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Daniel has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Shane

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 Daniel Christopher Shane'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

October 9, 2012 - Present

ESSEX ASSET ADVISORS INC.

Office #1: 104 Main Street Suite 1, Ivoryton, CT 06442

RIA

CRD#: 164076

Ivoryton, CT

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

Connecticut
(10/9/2012)

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: 3/26/2012

Uniform Investment Adviser Law Examination

Current Firm

ESSEX ASSET ADVISORS INC.

CRD#: 164076 / SEC#: 801-77196

RIA

Registered Investment Advisory firm - (9/3/2015 Terminated)

Connecticut

Registered Investment Advisory firm - (8/4/2015 Approved)

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).

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Contact information

Main Address

104 Main Street Suite 1, Ivoryton, CT 06442

Mailing Address

Phone number

(860) 581-8437

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 41,900,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Daniel C. Shane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Christopher Shane's CRS (Customer Relationship Summary).

Certified licenses

Experience

ESSEX ASSET ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/26/2012

Current Firm

ESSEX ASSET ADVISORS INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ESSEX ASSET ADVISORS INC.

TRUST BUT VERIFY

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