Brian A. Rathjen

KELSON ASSET MANAGEMENT LLC

Stamford, CT

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CRD#: 2819977

Professional summary

Brian Albert Rathjen is a registered financial advisor currently at KELSON ASSET MANAGEMENT LLC located in Stamford, Connecticut and KELSON CAPITAL LLC located in Stamford, Connecticut.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Brian has worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 3, Series 7 and Series 24 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.

KELSON GROUP I, LLC; NOT INVESTMENT RELATED, 39 Broadway, NEW YORK, NY; CONSULTING; SENIOR MANAGING DIRECTOR; OCTOBER 2010; 10 HOURS PER MONTH DURING TRADING HOURS; PROVIDE DIRECTIONAL GUIDANCE, ADVISORY WORK AND BUSINESS DEVELOPMENT ASSISTANCE. Trustee on the ULC Pension Plan, 8Hrs/Year. Started Jan 1, 2017. BR Industries, Started Oct 2010, Single Member LLC, for personal investments in passive private securities, 10 hrs/year. KAM, RIA, 10 hours a week. investment-related. variable compensation. Boulder Crest Board Member, 5 hours a month, not paid, not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Albert Rathjen'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

August 2, 2022 - Present

KELSON ASSET MANAGEMENT LLC

RIA

CRD#: 315511

Stamford, CT

Current

November 19, 2010 - Present

KELSON CAPITAL LLC

Office #1: 2 Ravenglass Drive 2nd Floor, Stamford, CT 06903Office #2: 39 Broadway 16th Floor Suite 1640, New York, NY 10006

CRD#: 149477

Stamford, CT

Past

December 6, 2017 - August 30, 2024

ROBERTS & RYAN, INC.

CRD#: 19456

Rockville Centre, NY

Past

December 16, 2005 - December 31, 2010

MARWOOD ALTERNATIVE ASSET MANAGEMENT LLC

CRD#: 134039

NEW YORK, NY

Past

March 24, 2004 - December 31, 2010

MARWOOD GROUP

RIA

CRD#: 117015

NEW YORK, NY

Past

April 2, 2002 - April 4, 2011

MARWOOD GROUP

CRD#: 117015

NEW YORK, NY

Past

January 14, 1997 - November 30, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

KELSON ASSET MANAGEMENT LLC

CRD#: 315511 / SEC#: 801-122346

RIA

Registered Investment Advisory firm - (9/17/2021 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/20/2017)

Connecticut
(5/18/2015)

New Jersey
(1/11/2011)

New York
(1/11/2011)

IAR

New York
(8/2/2022)

Pennsylvania
(1/11/2011)

Texas
(7/20/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/2/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/20/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/22/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/9/2000

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/13/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/28/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KELSON ASSET MANAGEMENT LLC

CRD#: 315511 / SEC#: 801-122346

RIA

Registered Investment Advisory firm - (9/17/2021 Approved)

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Contact information

Main Address

Stamford, CT

Mailing Address

Phone number

(917) 691-8007

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

KELSON ASSET MANAGEMENT LLC ADV DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 226,532,365

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/29/2024	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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Firm Stability Insights

Brian A. Rathjen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Albert Rathjen's CRS (Customer Relationship Summary).

Certified licenses

Experience

KELSON CAPITAL LLC

ROBERTS & RYAN, INC.

MARWOOD ALTERNATIVE ASSET MANAGEMENT LLC

MARWOOD GROUP

MARWOOD GROUP

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

KELSON ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/2/2022

Series 66

Date: 1/20/2004

Series 63

Date: 1/22/1997

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 11/9/2000

Series 7

Date: 1/13/1997

Series 24

Date: 11/28/2001

FINRA

Current Firm

KELSON ASSET MANAGEMENT LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KELSON ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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