Richard A. Newman

LAVA WEALTH MANAGEMENT

New York, NY 10018

CRD#: 4732664

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Professional summary

Richard Alfred Newman, who also goes by Richard Newman, is a registered financial advisor currently at LAVA WEALTH MANAGEMENT, LLC located in New York, New York.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Richard has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Newman

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 Richard Alfred Newman'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

April 15, 2021 - Present

LAVA WEALTH MANAGEMENT, LLC

Office #1: 5 Bryant Park 10th Floor, New York, NY 10018

RIA

CRD#: 167674

New York, NY

Past

February 20, 2004 - November 9, 2004

HART CAPITAL LLC

RIA

CRD#: 122601

ROWAYTON, CT

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".

LAVA WEALTH MANAGEMENT, LLC

ATLANTIS WEALTH MANAGEMENT, LLC | LAVA WEALTH MANAGEMENT, LLC

CRD#: 167674 / SEC#: 801-131417

RIA

Registered Investment Advisory firm - (11/4/2024 Approved)

New York

Registered Investment Advisory firm - (11/8/2024 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

New York
(4/15/2021)

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: 6/6/2013

Uniform Investment Adviser Law Examination

Current Firm

LAVA WEALTH MANAGEMENT, LLC

ATLANTIS WEALTH MANAGEMENT, LLC | LAVA WEALTH MANAGEMENT, LLC

CRD#: 167674 / SEC#: 801-131417

RIA

Registered Investment Advisory firm - (11/4/2024 Approved)

New York

Registered Investment Advisory firm - (11/8/2024 Terminated)

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Contact information

Main Address

New York, NY

Mailing Address

P. O. Box 317 Times Square Station, New York, NY 10108-0317

Phone number

(917) 751-6077

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAVA WEALTH MANAGEMENT, LLC DISCLOSURE BROCHURE (3/5/2026)

Regulatory assets under management

Total Number of Accounts	61
AUM (Assets Under Management)	$ 42,597,301

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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Richard A. Newman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alfred Newman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAVA WEALTH MANAGEMENT, LLC

HART CAPITAL LLC

Primary Firm SEC Registration

LAVA WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/2013

Current Firm

LAVA WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAVA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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