RN
Richard A. Newman
LAVA WEALTH MANAGEMENT
New York, NY 10018
Some features on this profile are disabled
CRD#: 4732664
RN
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.
Mr. Newman is currently serving as a director on the board of directors of two small, for-profit, early stage companies. Overgrad.com (Oct./2019), headquartered in Chicago, IL, helps provide information to secondary schools for their students about post-secondary options, both for college and otherwise, and the associated costs as well as helping them organize their applications and personal information. Zive Inc. (May 2019) enthas created productivity tools for users of Google docs, and eventually for Salesforce.com users, that make the users much more efficient in their use of those programs and therefore much more productive in their work. Mr. Newman is an investor in both companies. He has no daily role in the companies operations and, therefore, on average spends no more than an hour or two a month on work related to these positions.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Alfred Newman'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®
NoneExperience
Current
April 15, 2021 - Present
LAVA WEALTH MANAGEMENT, LLC
Office #1: 5 Bryant Park 10th Floor, New York, NY 10018RIA
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".
LW
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)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)
Current Firm
LW
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)Upgrade to AdvisorCheck Premium
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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
1
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58 |
| AUM (Assets Under Management) | $ 35,492,748 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
