Saumen Chattopadhyay

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CRD#: 4624565

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Saumen Chattopadhyay was a registered financial professional .

Saumen is a previously registered financial professional and started their career in finance in 2013. Saumen had worked at 5 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

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)

February 14, 2013 - July 31, 2019

CONVEX CAPITAL MANAGEMENT LLC

RIA

CRD#: 166623

WARRENVILLE, IL

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".

HARBOR CAPITAL ADVISORS, INC.

BLADE CAPITAL ADVISORS, INC. | HARBOR CAPITAL ADVISORS, INC.

CRD#: 113042 / SEC#: 801-60367

RIA

Registered Investment Advisory firm - (6/7/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/3/2013

Uniform Investment Adviser Law Examination

Current Firm

HARBOR CAPITAL ADVISORS, INC.

BLADE CAPITAL ADVISORS, INC. | HARBOR CAPITAL ADVISORS, INC.

CRD#: 113042 / SEC#: 801-60367

RIA

Registered Investment Advisory firm - (6/7/2001 Approved)

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Contact information

Main Address

111 South Wacker Drive 34th Floor, Chicago, IL 60606-4302

Mailing Address

Phone number

(312) 443-4400

Established

Firm type

Fiscal year end

# of Employees

236

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV - 2025 PART 2A BROCHURE DTD 03-25-2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 64,793,443,492

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.

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Saumen Chattopadhyay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HARBOR CAPITAL ADVISORS, INC.

ONEDIGITAL

CARSON GROUP INVESTING

CWM, LLC

CONVEX CAPITAL MANAGEMENT LLC

Primary Firm SEC Registration

HARBOR CAPITAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/2013

Current Firm

HARBOR CAPITAL ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARBOR CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

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