DG
Devin J. Garofalo
COLONIAL RIVER WEALTH MANAGEMENT LLC
Midlothian, VA 23114
CRD#: 4853435
DG
Professional summary
Devin J Garofalo, AIF®, who also goes by Devin J Garifalo, is a registered financial advisor currently at COLONIAL RIVER WEALTH MANAGEMENT LLC located in Midlothian, Virginia and LPL FINANCIAL LLC located in Newport News, Virginia.
Devin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Devin has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Devin J Garifalo
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. 10/26/2016: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start 10/2016 - 5 Hours Per Month/1 Hour During Securities Trading - 15% Time Spent - Fixed, disability, LTC, health. 2. 6/11/2019 - Colonial River Advisors, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2019 - 40 Hours Per Month/30 Hours During Securities Trading. 3. 6/11/2019 - Colonial River Wealth Advisors, LLC - DBA: Colonial River Wealth Management LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2016 - 100 Hours Per Month/80 Hours During Securities Trading. 4. 6/11/2019 - Colonial River Financial Services, LLC - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Owner - Started 03/15/2014 - 5 Hours Per Month During Securities Trading - Tax Preparation. 5. 6/11/2019 - MauiBelle, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Owner - Started 05/01/2019 - 3 Hours Per Month/0 Hours During Securities Trading. 6. 6/14/2019 - Colonial River Investments LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 10/01/2016 - 80 Hours Per Month/50 Hours During Securities Trading - I provide investment advisory services through Colonial River Investments LLC, an independent investment advisor firm. I started this business activity in 10/2016. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 7. 9/13/2019 - Colonial River Financial Services LLC - Investment Related - At Reported Business Location(s) - Insurance Agency - Owner - Started 03/01/2014 - 10 Hours Per Month During Securities Trading - Insurance Agency that sells Life, Long Term Care, Property and Casualty, Disability, and Fixed Annuities. This was previously named Colonial River Financial, LLC. 8. 6/4/2021 - Virginia Palms LLC - Investment Related - 205 Bulifants Blvd Suite D, Williamsburg, VA 23188 - Real Estate Rental - Started 04/06/2021 - 2 Hours Per Month/0 Hours During Securities Trading 9. 05/18/2023 - Elisa Ann Properties LLC - Investment Related - Midlothian, VA - Real Estate Rental - Started 09/01/2019 - 2 Hours Per Month/0 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Devin J Garofalo'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®
Experience
Current
October 28, 2016 - Present
COLONIAL RIVER WEALTH MANAGEMENT LLC
Office #1: 340 Browns Hill Court, Midlothian, VA 23114Office #2: 2110 William Styron Square S, Newport News, VA 23606Office #3: 205 Bulifants Blvd, Suite D, Williamsburg, VA 23188RIA
CRD#: 284839
Midlothian, VA
Current
October 26, 2016 - Present
LPL FINANCIAL LLC
Office #1: 2110 William Styron Sq S, Newport News, VA 23606Office #2: 340 Browns Hill Court, Midlothian, VA 23114Office #3: 205 Bulifants Blvd Ste D, Williamsburg, VA 23188RIA
BD
CRD#: 6413
Newport News, VA
Past
July 12, 2013 - December 14, 2016
OSAIC FA, INC.
RIA
CRD#: 3978
NEWPORT NEWS, VA
Past
July 12, 2013 - October 28, 2016
OSAIC FA, INC.
BD
CRD#: 3978
NEWPORT NEWS, VA
Past
August 29, 2011 - July 15, 2013
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
GLEN ALLEN, VA
Past
June 2, 2010 - August 29, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
GLEN ALLEN, VA
Past
June 2, 2010 - July 25, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
GLEN ALLEN, VA
Past
January 26, 2010 - June 7, 2010
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
GLEN ALLEN, VA
Past
July 27, 2009 - June 7, 2010
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
GLEN ALLEN, VA
Past
February 5, 2007 - August 4, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
GLEN ALLEN, VA
Past
December 19, 2005 - February 15, 2007
OSAIC WEALTH, INC.
BD
CRD#: 23131
RICHMOND, VA
Past
November 4, 2004 - January 17, 2006
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
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".
CR
COLONIAL RIVER WEALTH MANAGEMENT LLC
BURLESON FINANCIAL STRATEGIES, INC. | MOUNTAIN PEAK WEALTH ADVISORS LLC | LIONS BRIDGE FINANCIAL ADVISORS | COLONIAL RIVER WEALTH MANAGEMENT, LLC | COLONIAL RIVER WEALTH MANAGEMENT LLC | COLONIAL RIVER INVESTMENTS, LLC | COLONIAL RIVER
CRD#: 284839 / SEC#: 801-113243
RIA
Registered Investment Advisory firm - (5/14/2018 Approved)Virginia
Registered Investment Advisory firm - (8/29/2018 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/26/2016)
RR
Arizona(10/15/2018)
RR
California(10/26/2016)
RR
Colorado(6/28/2019)
RR
Connecticut(5/14/2019)
RR
Delaware(10/15/2018)
RR
District of Columbia(10/15/2018)
RR
Florida(10/15/2018)
RR
Georgia(10/26/2016)
RR
Hawaii(3/2/2020)
RR
Idaho(3/1/2022)
RR
Illinois(10/15/2018)
RR
Indiana(3/2/2020)
RR
Kansas(4/13/2020)
RR
Kentucky(5/20/2021)
RR
Louisiana(5/13/2019)
RR
Maine(5/12/2021)
RR
Maryland(10/26/2016)
RR
Massachusetts(10/15/2018)
RR
Michigan(5/20/2021)
RR
Minnesota(6/28/2019)
RR
Mississippi(6/28/2019)
RR
Missouri(3/2/2020)
RR
Nebraska(10/15/2018)
RR
New Hampshire(3/2/2020)
RR
New Jersey(10/15/2018)
RR
New Mexico(3/2/2020)
RR
New York(10/26/2016)
RR
North Carolina(10/26/2016)
RR
Ohio(6/21/2018)
RR
Oklahoma(11/24/2021)
RR
Oregon(11/8/2018)
RR
Pennsylvania(10/15/2018)
RR
Rhode Island(3/2/2020)
RR
South Carolina(10/26/2016)
RR
South Dakota(5/20/2021)
RR
Tennessee(6/28/2019)
RR
Texas(11/10/2017)
IAR
Texas(1/2/2019)
RR
Utah(3/2/2020)
RR
Vermont(4/21/2025)
RR
Virginia(10/28/2016)
IAR
Virginia(10/28/2016)
RR
Washington(10/26/2016)
RR
West Virginia(2/22/2019)
RR
Wisconsin(12/18/2020)
RR
Wyoming(3/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CR
COLONIAL RIVER WEALTH MANAGEMENT LLC
BURLESON FINANCIAL STRATEGIES, INC. | MOUNTAIN PEAK WEALTH ADVISORS LLC | LIONS BRIDGE FINANCIAL ADVISORS | COLONIAL RIVER WEALTH MANAGEMENT, LLC | COLONIAL RIVER WEALTH MANAGEMENT LLC | COLONIAL RIVER INVESTMENTS, LLC | COLONIAL RIVER
CRD#: 284839 / SEC#: 801-113243
RIA
Registered Investment Advisory firm - (5/14/2018 Approved)Virginia
Registered Investment Advisory firm - (8/29/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
340 Browns Hill Court, Midlothian, VA 23114
Mailing Address
Phone number
(804) 335-1200
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,524 |
| AUM (Assets Under Management) | $ 339,836,345 |
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.
Company Information
COLONIAL RIVER WEALTH MANAGEMENT LLC
CRD#: 284839Midlothian, VA 23114TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
