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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Joseph Anthony Perna

Joseph A. Perna

RITHOLTZ WEALTH MANAGEMENT
Denver, CO
Some features on this profile are disabled
CRD#: 5228191
Joseph Anthony Perna

Professional summary

Joseph Anthony Perna, CFP®, who also goes by Joe Perna, is a registered financial advisor currently at RITHOLTZ WEALTH MANAGEMENT located in Denver, Colorado.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Joseph has worked at 8 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joe Perna

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 Joseph Anthony Perna'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: 2014

Experience

Current

February 6, 2026 - Present

RITHOLTZ WEALTH MANAGEMENT

RIA
CRD#: 168652
Denver, CO
Past

August 9, 2024 - March 3, 2026

COMPOUND PLANNING, INC.

RIA
CRD#: 171787
Denver, CO
Past

November 4, 2020 - July 22, 2024

TMF INVESTMENTS

BD
CRD#: 306422
ALEXANDRIA, VA
Past

November 24, 2014 - August 9, 2024

MOTLEY FOOL WEALTH MANAGEMENT, LLC

RIA
CRD#: 165689
Denver, CO
Past

January 3, 2012 - November 17, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
ANNAPOLIS, MD
Past

January 3, 2012 - November 17, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
ANNAPOLIS, MD
Past

June 1, 2009 - November 22, 2011

MORGAN STANLEY

RIA
CRD#: 149777
BETHESDA, MD
Past

June 1, 2009 - November 22, 2011

MORGAN STANLEY

BD
CRD#: 149777
BETHESDA, MD
Past

February 22, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
BETHESDA, MD
Past

February 22, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
BETHESDA, MD
Past

September 18, 2007 - March 3, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
BETHESDA, MD
Past

August 27, 2007 - March 3, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
BETHESDA, MD

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".
RW
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
Colorado
(2/6/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 11/13/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/10/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/4/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/30/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/22/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/2007
General Securities Representative Examination

Current Firm

RW
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)
PREMIUM
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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
83

SEC notice filing (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/29/2026)

Regulatory assets under management

Total Number of Accounts12,587
AUM (Assets Under Management)$ 7,698,264,641

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/04/2026
Cover Page
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.

Company Information

RITHOLTZ WEALTH MANAGEMENT

CRD#: 168652Denver, CO

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