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Ashu Chopra

Ashu Chopra

SYON CAPITAL LLC | Managing Director
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 4263099
Ashu Chopra

Professional summary

Ashu Chopra, CPWA®, who also goes by Ash Chopra, is a registered financial advisor currently at SYON CAPITAL LLC located in San Francisco, California.

Ashu is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Ashu has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

What are your service offerings?
Financial planning
Loans/credit services
What is your current number of clients?
Under 50
What is your minimum asset requirement?
10M
Are you a "fiduciary"?
Yes

Aliases

Ash Chopra

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.
(2)I*86324 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: 10 MOONLIGHT, SO SAN FRANCISCO, CALIFORNIA 94080 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 39812 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: LANDLORD

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashu Chopra'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®
CPWA®

Certified Private Wealth Advisor

Start date: 2016-12-21

Expire date: 2024-11-30

Experience

Current

September 16, 2022 - Present

SYON CAPITAL LLC

Office #1: 555 Montgomery St. Ste 1250, San Francisco, CA 94111
RIA
CRD#: 322776
San Francisco, CA
Past

May 19, 2004 - September 20, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN FRANCISCO, CA
Past

April 27, 2004 - September 20, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN FRANCISCO, CA
Past

October 19, 2000 - April 27, 2004

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
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".
SC
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
(9/16/2022)
IAR
Texas
(2/4/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/8/2004
Uniform Combined 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: 10/18/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/26/2000
National Commodity Futures Examination

Current Firm

SC
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
13

SEC notice filing (3 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

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

Regulatory assets under management

Total Number of Accounts869
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.

Company Information

SYON CAPITAL LLC

Managing DirectorCRD#: 322776San Francisco, CA 94111

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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