Sophia Ohanessian

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CRD#: 4850052

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.

Sophia Ohanessian, who also goes by Sophia Ohanessian Duarte, was a registered financial professional .

Sophia is a previously registered financial professional and started their career in finance in 2004. Sophia had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sophia Ohanessian Duarte

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.

1) RWC ASSET ADVISORS (US) LLC, MIAMI, FL, INVESTMENT RELATED-RIA, SEC ADVISOR/HEDGE FUND/1940 ACT WITH MOSTLY INSITUTION AND AIS AS CLIENTS, US COMPLIANCE OFFICER, STATE DATE 10/2016, MANAGE US COMPLIANCE PROGRAM, 160 HOURS PER MONTH ALL DURING SECURITIES TRADING. 2) EXOTIC CAR RENTAL, LLC, MIAMI, FL, NON INVESTMENT RELATED, CAR RENTAL WEBSITE, SELLS LEADS FOR RENTALS, MGRM, PASSIVE INVESTMENT/HUSBAND RUNS SITE, START DATE 2008, 0 HOURS PER MONTH. 3) Essential Edge Group; Non-Investment Related; N/A; 7/9/2019; Regulatory Compliance Consulting; Compliance Consultant; Compliance Consultant for Essential Edge Group of companies. In this capacity, I will work on regulatory and compliance matters relating to FINRA broker dealers, SEC/Statue Registered Investment Advisers, private funds, law firms, and their associated persons. All work for this position will be done outside of working hours for RWC Partners and its affiliates; 50 hours per month with 20 during trading hours. 4) Dejure Compliance; Investment Related; Miami, FL; Compliance Support; Compliance Consultant; 10/18 Start Date; 50 hours per month; 20 during trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 22, 2016 - October 25, 2023

REDWHEEL

RIA

CRD#: 166517

MIAMI, FL

Past

December 22, 2016 - August 31, 2022

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Miami, FL

Past

July 1, 2009 - November 12, 2015

AMERANT INVESTMENTS, INC.

RIA

CRD#: 117284

CORAL GABLES, FL

Past

May 26, 2009 - November 12, 2015

AMERANT INVESTMENTS, INC.

CRD#: 117284

CORAL GABLES, FL

Past

November 12, 2008 - May 21, 2009

BSG MARKETS LLC

CRD#: 127137

NEW YORK, NY

Past

August 31, 2006 - February 4, 2008

SYMPHONIC SECURITIES LLC

CRD#: 139512

NEW YORK, NY

Past

August 1, 2005 - February 4, 2008

SYMPHONIC FINANCIAL ADVISORS LLC

RIA

CRD#: 135603

NEW YORK, NY

Past

April 4, 2005 - February 4, 2008

CITY NATIONAL ROCHDALE

RIA

CRD#: 117198

NEW YORK, NY

Past

December 2, 2004 - February 4, 2008

CNR SECURITIES, LLC

CRD#: 18466

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".

REDWHEEL

REDWHEEL | RWC US FEEDERS (GP) LIMITED | RWC ASSET ADVISORS (US) LLC

CRD#: 166517 / SEC#: 801-77698

RIA

Registered Investment Advisory firm - (3/20/2013 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 66

Date: 4/1/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/14/2005

General Securities Principal Examination

Current Firm

REDWHEEL

REDWHEEL | RWC US FEEDERS (GP) LIMITED | RWC ASSET ADVISORS (US) LLC

CRD#: 166517 / SEC#: 801-77698

RIA

Registered Investment Advisory firm - (3/20/2013 Approved)

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Contact information

Main Address

2640 S. Bayshore Drive Suite 201, Miami, FL 33133

Mailing Address

Phone number

(305) 602-9501

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

RWC ASSET ADVISORS (US) LLC -PART 2A -MARCH 31, 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 4,481,766,794

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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Firm Stability Insights

Sophia Ohanessian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

AMERANT INVESTMENTS, INC.

AMERANT INVESTMENTS, INC.

BSG MARKETS LLC

SYMPHONIC SECURITIES LLC

SYMPHONIC FINANCIAL ADVISORS LLC

CITY NATIONAL ROCHDALE

CNR SECURITIES, LLC

Primary Firm SEC Registration

REDWHEEL

State Registrations and Notice Filings

Exams

Series 66

Date: 4/1/2005

SIE

Date: 10/1/2018

Series 7

Date: 12/1/2004

Series 24

Date: 2/14/2005

Current Firm

REDWHEEL

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REDWHEEL

TRUST BUT VERIFY

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