Chad A. Simon

MANAGED ASSET PORTFOLIOS

Tampa, FL

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CRD#: 5071388

Professional summary

Chad Aaron Simon is a registered financial advisor currently at MANAGED ASSET PORTFOLIOS, LLC located in Tampa, Florida and ALT FUND DISTRIBUTORS LLC located in New York, New York.

Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Chad has worked at 3 firms and has passed the Series 63, Series 65, Series 6TO, SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chad Aaron Simon'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®

None

Experience

Current

July 29, 2019 - Present

MANAGED ASSET PORTFOLIOS, LLC

RIA

CRD#: 109574

Tampa, FL

Current

June 7, 2022 - Present

ALT FUND DISTRIBUTORS LLC

Office #1: 140 East 45th Street Suite 15 B, New York, NY 10017

CRD#: 146547

New York, NY

Past

February 15, 2006 - November 26, 2007

TRANSMARKET GROUP L.L.C.

CRD#: 15657

CHICAGO, IL

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".

MANAGED ASSET PORTFOLIOS, LLC

CRD#: 109574 / SEC#: 801-58125

RIA

Registered Investment Advisory firm - (11/27/2000 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.

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

IAR

Florida
(10/1/2019)

Florida
(6/7/2022)

IAR

Illinois
(10/18/2021)

IAR

Michigan
(7/29/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/27/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/21/2019

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 6/7/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 5/17/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/14/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MANAGED ASSET PORTFOLIOS, LLC

CRD#: 109574 / SEC#: 801-58125

RIA

Registered Investment Advisory firm - (11/27/2000 Approved)

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Contact information

Main Address

950 W. University, Suite 100, Rochester, MI 48307

Mailing Address

Phone number

(248) 601-6677

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,928
AUM (Assets Under Management)	$ 1,058,507,064

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

Chad A. Simon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chad Aaron Simon's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALT FUND DISTRIBUTORS LLC

TRANSMARKET GROUP L.L.C.

Primary Firm SEC Registration

MANAGED ASSET PORTFOLIOS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/27/2022

Series 65

Date: 6/21/2019

Series 6TO

Date: 6/7/2022

SIE

Date: 5/17/2022

Series 7

Date: 2/14/2006

FINRA

Current Firm

MANAGED ASSET PORTFOLIOS, LLC

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MANAGED ASSET PORTFOLIOS, LLC

TRUST BUT VERIFY

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