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AE

Asaph Elan

EQUILIBRIUM WEALTH LLC
San Carlos, CA
Some features on this profile are disabled
CRD#: 4547392
AE

Professional summary

Asaph Elan is a registered financial advisor currently at EQUILIBRIUM WEALTH LLC located in San Carlos, California.

Asaph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Asaph has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 31 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Asaph Elan'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

December 15, 2021 - Present

EQUILIBRIUM WEALTH LLC

RIA
CRD#: 311940
San Carlos, CA
Past

April 2, 2019 - December 16, 2021

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
SAN JOSE, CA
Past

January 22, 2019 - December 16, 2021

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
SAN JOSE, CA
Past

September 30, 2016 - September 6, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN JOSE, CA
Past

September 30, 2016 - September 6, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN JOSE, CA
Past

March 4, 2016 - October 7, 2016

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
SUNNYVALE, CA
Past

January 19, 2016 - October 7, 2016

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
SUNNYVALE, CA
Past

November 22, 2004 - January 8, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
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".
EW
EQUILIBRIUM WEALTH LLC
EQUILIBRIUM WEALTH | EQUILIBRIUM WEALTH LLC

CRD#: 311940 / SEC#: 801-120066

RIA
Registered Investment Advisory firm - (1/4/2021 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
(12/15/2021)
IAR
Texas
(1/8/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/1/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/6/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 4/26/2006
Futures Managed Funds Examination

Current Firm

EW
EQUILIBRIUM WEALTH LLC
EQUILIBRIUM WEALTH | EQUILIBRIUM WEALTH LLC

CRD#: 311940 / SEC#: 801-120066

RIA
Registered Investment Advisory firm - (1/4/2021 Approved)
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Contact information

Main Address
Jerusalem
Mailing Address
45 Rockefeller Plaza 2oth Floor, New York, NY 10111
Phone number
(212) 321-0428
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (4 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

EQUILIBRIUM DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (2/19/2026)

Regulatory assets under management

Total Number of Accounts252
AUM (Assets Under Management)$ 129,513,186

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/30/2025
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

EQUILIBRIUM WEALTH LLC

CRD#: 311940San Carlos, CA

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