DC
Daniel M. Clifton
STRATEGAS ASSET MANAGEMENT
Washington, DC 20006
Some features on this profile are disabled
CRD#: 5669502
DC
Professional summary
Daniel Michael Clifton is a registered financial advisor currently at STRATEGAS ASSET MANAGEMENT, LLC located in Washington, District Of Columbia and STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS located in Washington, District Of Columbia.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Daniel has worked at 3 firms and has passed the Series 66, 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.
PARTNER AND PORTFOLIO MANAGER OF STRATEGAS ASSET MANAGEMENT, LLC ("SAM"), LOCATED AT 52 VANDERBILT AVENUE, EIGHTH FLOOR, NEW YORK, NY 10017. SAM IS AN INVESTMENT ADVISER REGISTERED UNDER THE LAWS OF THE STATE OF NEW YORK. APPROXIMATELY FIFTEEN PERCENT OF MR. CLIFTON'S TIME IS DEVOTED TO THIS ACTIVITY. HE WILL CREATE AND MAINTAIN THE VARIOUS PORTFOLIO STRATEGIES IMPLEMENTED BY SAM.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Michael Clifton'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®
NoneExperience
Current
September 7, 2016 - Present
STRATEGAS ASSET MANAGEMENT, LLC
Office #1: 1775 I Streetnw, Washington, DC 20006RIA
CRD#: 172000
Washington, DC
Current
February 19, 2010 - Present
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
Office #1: 1775 I Street Nw Suite 420, Washington, DC 20006RIA
BD
CRD#: 149326
Washington, DC
Past
November 10, 2009 - February 19, 2010
PULSE TRADING, INC.
BD
CRD#: 104022
BOSTON, MA
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".
SA
STRATEGAS ASSET MANAGEMENT, LLC
STRATEGAS ASSET MANAGEMENT, LLC
CRD#: 172000 / SEC#: 801-113292
RIA
Registered Investment Advisory firm - (5/25/2018 Approved)District of Columbia
Registered Investment Advisory firm - (6/4/2018 Terminated)New York
Registered Investment Advisory firm - (6/4/2018 Terminated)Texas
Registered Investment Advisory firm - (6/4/2018 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.Highlighted states indicate IAR registrations
IAR
District of Columbia(9/7/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STRATEGAS ASSET MANAGEMENT, LLC
STRATEGAS ASSET MANAGEMENT, LLC
CRD#: 172000 / SEC#: 801-113292
RIA
Registered Investment Advisory firm - (5/25/2018 Approved)District of Columbia
Registered Investment Advisory firm - (6/4/2018 Terminated)New York
Registered Investment Advisory firm - (6/4/2018 Terminated)Texas
Registered Investment Advisory firm - (6/4/2018 Terminated)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
52 Vanderbilt Avenue 19th Floor, New York, NY 10017
Mailing Address
Phone number
(855) 273-7227
Established
Firm type
Fiscal year end
# of Employees
22
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 148,153,092 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 | ||
| 10/27/2022 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 6/6/2017 |
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.
