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Eric J. Zipfel

RITHOLTZ WEALTH MANAGEMENT
Austin, TX
Some features on this profile are disabled
CRD#: 3204894
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Professional summary

Eric John Zipfel, who also goes by Eric J Zipfel, is a registered financial advisor currently at RITHOLTZ WEALTH MANAGEMENT located in Austin, Texas.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Eric has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Eric J Zipfel

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 Eric John Zipfel'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

March 10, 2023 - Present

RITHOLTZ WEALTH MANAGEMENT

RIA
CRD#: 168652
Austin, TX
Past

April 29, 2016 - March 10, 2023

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
DALLAS, TX
Past

September 7, 2011 - March 10, 2023

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
DALLAS, TX
Past

August 30, 2011 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
DALLAS, TX
Past

April 12, 2010 - May 23, 2023

BEACON FINANCIAL GROUP

RIA
CRD#: 110038
DALLAS, TX
Past

March 27, 2008 - January 25, 2010

TD AMERITRADE, INC.

RIA
CRD#: 7870
AUSTIN, TX
Past

March 26, 2008 - January 25, 2010

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
AUSTIN, TX
Past

February 20, 2008 - January 25, 2010

TD AMERITRADE, INC.

BD
CRD#: 7870
AUSTIN, TX
Past

May 10, 2005 - March 13, 2007

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA
CRD#: 453
DUBLIN, OH
Past

April 26, 2005 - March 13, 2007

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
DUBLIN, OH
Past

November 22, 2004 - March 23, 2005

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
COLUMBUS, OH
Past

March 30, 1999 - March 23, 2005

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CINCINNATI, OH

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".
RW
RITHOLTZ WEALTH MANAGEMENT
COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA
Registered Investment Advisory firm - (9/16/2013 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
Texas
(3/10/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/4/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/3/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/29/1999
General Securities Representative Examination

Current Firm

RW
RITHOLTZ WEALTH MANAGEMENT
COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA
Registered Investment Advisory firm - (9/16/2013 Approved)
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Contact information

Main Address
24 West 40th Street 15th Floor, New York, NY 10018
Mailing Address
Phone number
(212) 625-1200
Established
Firm type
Fiscal year end
# of Employees
83

SEC notice filing (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/29/2026)

Regulatory assets under management

Total Number of Accounts12,587
AUM (Assets Under Management)$ 7,698,264,641

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/04/2026
Cover Page
Report
05/28/2025
Cover Page
Report
04/10/2024
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.

Company Information

RITHOLTZ WEALTH MANAGEMENT

CRD#: 168652Austin, TX

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