Kian Rafia

VESTWELL ADVISORS LLC

Savoy, IL

Some features on this profile are disabled

CRD#: 4475395

Professional summary

Kian Rafia is a registered financial advisor currently at VESTWELL ADVISORS LLC located in Savoy, Illinois and VESTWELL SECURITIES, LLC located in New York, New York.

Kian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kian has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO and Series 6 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.

ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - In Concord, CA - Investment Related - Employment Start Date 08/2020 - 160 Hrs. / Monthly, Senior Vice President, Head of Enterprise Sales and Distribution of AssetMark, Inc. - A Registered Investment Adviser - In Concord CA - Affiliated of AssetMark Brokerage, LL. - Investment Related. PARDIS, LLC - INVESTMENT-RELATED - CARLSBAD, CA - REGISTERED INVESTMENT ADVISORY FIRM - FOUNDER, CEO AND CCO - START DATE 2/2019 - SPEND 0 HOURS PER MONTH - SEND 0 HOURS DEVOTED DURING SECURITIES TRADING HOURS - MAINTAIN A NON-ACTIVE RIA IN CA, HAS A FEW PERSONAL QUALIFIED ACCOUNTS USING THIS RIA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kian Rafia'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

February 12, 2025 - Present

VESTWELL ADVISORS LLC

RIA

CRD#: 284173

Savoy, IL

Current

September 2, 2025 - Present

VESTWELL SECURITIES, LLC

Office #1: 360 Madison Avenue 15th Floor, New York, NY, 10017

CRD#: 331531

NEW YORK, NY

Past

May 22, 2024 - December 31, 2024

VESTWELL ADVISORS LLC

RIA

CRD#: 284173

Savoy, IL

Past

January 19, 2021 - January 2, 2024

ASSETMARK BROKERAGE, LLC

CRD#: 169804

CONCORD, CA

Past

June 6, 2019 - June 28, 2024

PARDIS

RIA

CRD#: 301564

SAVOY, IL

Past

November 13, 2001 - January 24, 2002

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, 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".

VESTWELL ADVISORS LLC

CRD#: 284173 / SEC#: 801-107981

RIA

Registered Investment Advisory firm - (7/15/2016 Approved)

Kansas

Registered Investment Advisory firm - (1/23/2025 Terminated)

Mississippi

Registered Investment Advisory firm - (1/23/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(2/12/2025)

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: 1/3/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/3/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/15/2021

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 6

Date: 11/12/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VESTWELL ADVISORS LLC

CRD#: 284173 / SEC#: 801-107981

RIA

Registered Investment Advisory firm - (7/15/2016 Approved)

Kansas

Registered Investment Advisory firm - (1/23/2025 Terminated)

Mississippi

Registered Investment Advisory firm - (1/23/2025 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

360 Madison Avenue 15th Floor, New York, NY 10017

Mailing Address

Phone number

(917) 979-5358

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 - MARCH 28, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	7,946
AUM (Assets Under Management)	$ 427,149,041

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kian Rafia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kian Rafia's CRS (Customer Relationship Summary).

Certified licenses

Experience

VESTWELL SECURITIES, LLC

VESTWELL ADVISORS LLC

ASSETMARK BROKERAGE, LLC

PARDIS

NATIONAL PLANNING CORPORATION

Primary Firm SEC Registration

VESTWELL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/2019

Series 63

Date: 12/3/2001

Series 6TO

Date: 1/15/2021

Series 6

Date: 11/12/2001

FINRA

Current Firm

VESTWELL ADVISORS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VESTWELL ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors