EA
Erik M. Anderson
AMBIVIEW ADVISORS
Madison, CT 06443
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CRD#: 4737526
EA
Professional summary
Erik Matthew Anderson is a registered financial advisor currently at AMBIVIEW ADVISORS, LLC located in Madison, Connecticut.
Erik is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Erik has worked at 2 firms .
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.
Mr. Anderson is actively engaged in another intestment-reltated business. Mr. Anderson acts as CFO, through a consulting arrangement, for Gator Capital Management, LLC ("Gator"), an SEC registered investment adviser. Gator is located at 100 S. Ashely Dr., Suite 895, Tampa, FL 33602. Duties include general accounting and operational functions. Mr. Anderson spends approximately 60 hours a month with Gator. About 50% of that time is during trading hours. There is no relationship between Gator and AmbiView Advisors, LLC other than having a common supervised person in Mr. Anderson. Mr. Anderson also acts as the CCO, through a consulting arrangement, for TAH Management, LP ("TAH"), an SEC registered investment adviser. TAH is located at 483 Tenth Ave., 6th Floor, New York, NY 10018. Duties include acting as Chief Compliance Officer as well as operational functions. Mr. Anderson spends approximately 50 hours a month with TAH. About 50% of that time is during trading hours. There is no relationship between TAH and AmbiView Advisors, LLC other than having a common supervised person in Mr. Anderson. A number of actual and potential conflicts of interest between AmbiView's clients and both Gator and TAH could exist. AmbiView has sole discretion to resolve such conflicts as it determines to be appropriate, consistent with its fiduciary duties t its clients. If such a conflict arises as a result of Mr. Anderson's relationship with TAH or Gator, AmbiView will attempt to resolve such conflicts in a fair and equitable manner.
CRS (Client Relationship Summary) - RIA
Click below to view Erik Matthew Anderson'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
June 26, 2023 - Present
AMBIVIEW ADVISORS, LLC
Office #1: 37 Forest Hills Dr., Madison, CT 06443RIA
CRD#: 312702
Madison, CT
Past
April 22, 2013 - January 25, 2016
GATOR CAPITAL MANAGEMENT, LLC
RIA
CRD#: 147067
TAMPA, FL
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(6/26/2023)
Exams
Current Firm
AA
AMBIVIEW ADVISORS, LLC
AMBIVIEW ADVISORS, LLC | AMBIVIEW CAPITAL, LLC
CRD#: 312702 / SEC#: 802-121565
Florida
Registered Investment Advisory firm - (2/14/2022 Approved)New York
Registered Investment Advisory firm - (6/26/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
St. Petersburg, FL
Mailing Address
Phone number
(727) 291-1000
Established
Firm type
Fiscal year end
# of Employees
2
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 11/11/2021 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
AMBIVIEW ADVISORS, LLC
CRD#: 312702Madison, CT 06443TRUST BUT VERIFY
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