AD
Anthony S. Daffer
PROVENIRE CAPITAL LLC
Eden Prairie, MN 55344
Some features on this profile are disabled
CRD#: 2683134
AD
Professional summary
Anthony Steven Daffer is a registered financial advisor currently at PROVENIRE CAPITAL LLC located in Eden Prairie, Minnesota.
Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Anthony has worked at 1 firm and has passed the Series 65 exam.
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.
On Board of Directors for Sestra Systems, based in Virginia. Board meetings are 4 times a year. There is no current or potential conflict of interest as Sestra Systems is not a publically-traded company. At such time as there is potential for this to change, this position would be reevaluated.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Steven Daffer'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®
NoneExperience
Current
September 19, 2017 - Present
PROVENIRE CAPITAL LLC
Office #1: 9855 West 78th Street Suite 300, Eden Prairie, MN 55344RIA
CRD#: 170390
Eden Prairie, MN
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
Minnesota(9/19/2017)
Current Firm
PC
PROVENIRE CAPITAL LLC
PROVENIRE CAPITAL LLC
CRD#: 170390 / SEC#: 801-118136
RIA
Registered Investment Advisory firm - (9/16/2021 Terminated)Minnesota
Registered Investment Advisory firm - (9/15/2021 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
9855 West 78th Street Suite 300, Eden Prairie, MN 55344
Mailing Address
Phone number
(612) 913-4849
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 65,536,959 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Minnesota | ERA - Withdrawn | 2/3/2015 |
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.
