Viju P. Rajan

INDEPENDENT FAMILY OFFICE

ALBANY, NY 12207

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CRD#: 5611394

Professional summary

Viju Philip Rajan is a registered financial advisor currently at INDEPENDENT FAMILY OFFICE, LLC located in Albany, New York.

Viju is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Viju has worked at 3 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Viju Philip Rajan'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

August 24, 2021 - Present

INDEPENDENT FAMILY OFFICE, LLC

Office #1: 677 Broadway 7th Floor, Albany, NY 12207

RIA

CRD#: 144811

ALBANY, NY

Past

June 10, 2011 - June 13, 2012

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

SARATOGA SPRINGS, NY

Past

February 24, 2009 - June 13, 2012

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

SARATOGA SPRINGS, 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".

INDEPENDENT FAMILY OFFICE, LLC

CRD#: 144811 / SEC#: 801-74757

RIA

Registered Investment Advisory firm - (4/16/2012 Approved)

New York

Registered Investment Advisory firm - (5/31/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(8/24/2021)

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: 6/22/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/23/2009

General Securities Representative Examination

Current Firm

INDEPENDENT FAMILY OFFICE, LLC

CRD#: 144811 / SEC#: 801-74757

RIA

Registered Investment Advisory firm - (4/16/2012 Approved)

New York

Registered Investment Advisory firm - (5/31/2012 Terminated)

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Contact information

Main Address

677 Broadway 7th Floor, Albany, NY 12207

Mailing Address

Po Box 10879, Albany, NY 12203

Phone number

(518) 452-8050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IFO FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	206
AUM (Assets Under Management)	$ 617,830,484

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/28/2025	Cover Page	Report
02/28/2024	Cover Page	Report
01/27/2023	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.

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Viju P. Rajan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Viju Philip Rajan's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FAMILY OFFICE, LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

Primary Firm SEC Registration

INDEPENDENT FAMILY OFFICE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/22/2009

Series 7

Date: 2/23/2009

Current Firm

INDEPENDENT FAMILY OFFICE, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

INDEPENDENT FAMILY OFFICE, LLC

TRUST BUT VERIFY

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