DG
Dev Gupta
PERIGON WEALTH MANAGEMENT
San Francisco, CA 94105
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CRD#: 4447991
DG
Professional summary
Dev Gupta, CFP®, who also goes by Dev Rattan Gupta, Devratna Gupta, is a registered financial advisor currently at PERIGON WEALTH MANAGEMENT, LLC located in San Francisco, California.
Dev is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Dev has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dev Rattan Gupta | Devratna Gupta
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) Fair Capital Inc.; Not-investment related; 3010 Buchanan Street, Apt. 9, San Francisco, CA 94123; Fintech Firm; Chief Executive Officer; 06/2020; Thirty (30) hours per month; Fifteen (15) hours during securities trading hours; Raise capital, develop and manage the strategic product, and marketing initiatives; Several Perigon Wealth Management, LLC clients are invested in Fair Capital, Inc. (2) Streetwise Investors Fund, LP; Not-investment related; Los Angeles, CA; Real estate limited partnership; Passive Investor; 10/2020; Zero (0) hours per month; Zero (0) hours during securities trading hours. (3) AutomaticCRM, Inc.; Not-investment related; San Francisco, CA; Technology firm that develops client relationship management software; Passive Investor; 04/2021; Zero (0) hours per month; Zero (0) hours during securities trading hours. (4) Licensed Insurance Agent; Not-investment related; 201 Mission St., Ste. 1825, San Francisco, CA 94105; Insurance sales; Insurance Agent; 08/2007; Fifteen (15) hours per month, all of which are during securities trading hours; Recommendation and implementation of insurance sales.
CRS (Client Relationship Summary) - RIA
Click below to view Dev Gupta'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®
CFP®
Start date: 2010
Experience
Current
January 7, 2020 - Present
PERIGON WEALTH MANAGEMENT, LLC
Office #1: 201 Mission Street Suite 1825, San Francisco, CA 94105RIA
CRD#: 131037
San Francisco, CA
Past
September 28, 2010 - January 8, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN FRANCISCO, CA
Past
September 24, 2010 - January 8, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN FRANCISCO, CA
Past
June 1, 2009 - October 1, 2010
MORGAN STANLEY
RIA
CRD#: 149777
SAN FRANCISCO, CA
Past
June 1, 2009 - October 1, 2010
MORGAN STANLEY
BD
CRD#: 149777
SAN FRANCISCO, CA
Past
July 4, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SAN FRANCISCO, CA
Past
May 14, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
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".
PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS
CRD#: 131037 / SEC#: 801-62988
RIA
Registered Investment Advisory firm - (4/7/2004 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(1/7/2020)
IAR
Texas(9/22/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS
CRD#: 131037 / SEC#: 801-62988
RIA
Registered Investment Advisory firm - (4/7/2004 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
201 Mission Street Suite 1825, San Francisco, CA 94105
Mailing Address
Phone number
(877) 977-2555
Established
Firm type
Fiscal year end
# of Employees
141
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,456 |
| AUM (Assets Under Management) | $ 8,714,418,958 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2024 | ||
| 10/24/2023 |
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.
