Ashish J. Shah

SYON CAPITAL LLC

San Francisco, CA 94111

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CRD#: 3102697

Professional summary

Ashish Jitendra Shah is a registered financial advisor currently at SYON CAPITAL LLC located in San Francisco, California.

Ashish is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Ashish has worked at 7 firms and has passed the Series 65 and Series 7 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.

(1) Moonlight Capital LLC (CA), not investment related, 1830 Kelton Ave., #12 Los Angeles, CA 90025, direct real estate Investments in residential, commercial and lodging, Principal, 5/2015, 1-2 hours per month, 0 during trading hours, I use LLC vehicle to invest in real estate where I am actively involved, Objective- generate rental income. (2) SNAK LLC (UT), not investment related, 1830 Kelton Ave., #12 Los Angeles, CA 90025, direct real estate Investments in residential, commercial and lodging, Principal, 7/2021, 1-2 hours per month, 0 during trading hours, I use LLC vehicle to invest in real estate where I am actively involved, Objective- generate rental income.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashish Jitendra Shah'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

April 22, 2024 - Present

SYON CAPITAL LLC

Office #1: 555 Montgomery St. Ste 1250, San Francisco, CA 94111

RIA

CRD#: 322776

San Francisco, CA

Past

May 22, 2023 - April 22, 2024

EVOKE ADVISORS

RIA

CRD#: 300856

LOS ANGELES, CA

Past

January 20, 2021 - August 22, 2023

OAKHURST CAPITAL ADVISORS, LLC

RIA

CRD#: 311802

Los Angeles, CA

Past

December 23, 2020 - August 22, 2023

F/M INVESTMENTS LLC

RIA

CRD#: 304405

Los Angles, CA

Past

January 30, 2020 - December 4, 2020

FIRST WESTERN CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 152982

Los Angeles, CA

Past

February 1, 2000 - April 25, 2000

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

March 17, 1999 - February 1, 2000

HAMBRECHT & QUIST LLC

CRD#: 940

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".

SYON CAPITAL LLC

SYON | SYON LLC | SYON CAPITAL LLC

CRD#: 322776 / SEC#: 801-126386

RIA

Registered Investment Advisory firm - (8/12/2022 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.

Highlighted states indicate IAR registrations

IAR

California
(4/22/2024)

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: 1/7/2020

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 3/16/1999

General Securities Representative Examination

Current Firm

SYON CAPITAL LLC

SYON | SYON LLC | SYON CAPITAL LLC

CRD#: 322776 / SEC#: 801-126386

RIA

Registered Investment Advisory firm - (8/12/2022 Approved)

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Contact information

Main Address

555 Montgomery St. Ste 1250, San Francisco, CA 94111

Mailing Address

Phone number

(415) 520-7966

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SYON CAPITAL ADV PART 2A 03-26-2025 (4/29/2025)

Regulatory assets under management

Total Number of Accounts	869
AUM (Assets Under Management)	$ 2,933,416,209

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

Ashish J. Shah

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashish Jitendra Shah's CRS (Customer Relationship Summary).

Certified licenses

Experience

EVOKE ADVISORS

OAKHURST CAPITAL ADVISORS, LLC

F/M INVESTMENTS LLC

FIRST WESTERN CAPITAL MANAGEMENT COMPANY

J.P. MORGAN SECURITIES INC.

HAMBRECHT & QUIST LLC

Primary Firm SEC Registration

SYON CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/7/2020

Series 7

Date: 3/16/1999

Current Firm

SYON CAPITAL LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SYON CAPITAL LLC

TRUST BUT VERIFY

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