Patrick K. Haley

RITHOLTZ WEALTH MANAGEMENT

New York, NY 10018

Some features on this profile are disabled

CRD#: 5014261

Professional summary

Patrick Kern Haley, CFP® is a registered financial advisor currently at RITHOLTZ WEALTH MANAGEMENT located in New York, New York.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Patrick has worked at 2 firms and has passed the Series 66 and Series 7 exams.

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.

1. The Pennfield School; not investment related; 110 Sandy Point Avenue Portsmouth RI 02871; Start Date: 4/2017; Position: Advisory Board Member 2. Residential Rental Property; Arlington VA; joint owner; 8/15/2003; residential real estate; property manager in place

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Kern Haley'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

March 26, 2014 - Present

RITHOLTZ WEALTH MANAGEMENT

Office #1: 24 West 40th Street 15th Floor, New York, NY 10018

RIA

CRD#: 168652

New York, NY

Past

October 21, 2005 - March 12, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WASHINGTON, DC

Past

October 5, 2005 - March 12, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WASHINGTON, DC

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".

RITHOLTZ WEALTH MANAGEMENT

COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA

Registered Investment Advisory firm - (9/16/2013 Approved)

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

Rhode Island
(6/13/2025)

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: 10/17/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/4/2005

General Securities Representative Examination

Current Firm

RITHOLTZ WEALTH MANAGEMENT

COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA

Registered Investment Advisory firm - (9/16/2013 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

24 West 40th Street 15th Floor, New York, NY 10018

Mailing Address

Phone number

(212) 625-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (7/2/2025)

Regulatory assets under management

Total Number of Accounts	11,801
AUM (Assets Under Management)	$ 6,459,181,176

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/28/2025	Cover Page	Report
04/10/2024	Cover Page	Report

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Patrick K. Haley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Kern Haley's CRS (Customer Relationship Summary).

Certified licenses

Experience

RITHOLTZ WEALTH MANAGEMENT

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

RITHOLTZ WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 10/17/2005

Series 7

Date: 10/4/2005

Current Firm

RITHOLTZ WEALTH MANAGEMENT

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RITHOLTZ WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors