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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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DR

Dax P. Rodriguez

CENACLE CAPITAL MANAGEMENT
CHICAGO, IL
Some features on this profile are disabled
CRD#: 5700954
DR

Professional summary

Dax Pan Rodriguez is a registered financial advisor currently at CENACLE CAPITAL MANAGEMENT, LLC located in Chicago, Illinois and 303 SECURITIES, LP located in Chicago, Illinois.

Dax is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Dax has worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7TO, Series 7 and Series 24 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 Dax Pan Rodriguez'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®
None

Experience

Current

May 6, 2026 - Present

CENACLE CAPITAL MANAGEMENT, LLC

RIA
CRD#: 130804
CHICAGO, IL
Current

April 6, 2026 - Present

303 SECURITIES, LP

Office #1: 401 W. Superior Street, Chicago, IL 60654
BD
CRD#: 288569
Chicago, IL
Past

September 23, 2022 - November 14, 2025

MERRIWETHER INVESTMENTS, INC.

RIA
CRD#: 310908
Chicago, IL
Past

March 1, 2022 - April 1, 2026

DNA SECURITIES LLC

BD
CRD#: 312799
Chicago, IL
Past

September 29, 2014 - September 22, 2016

SUMO CAPITAL, LLC

BD
CRD#: 146310
CHICAGO, IL
Past

March 14, 2013 - July 29, 2014

CUTLER GROUP, LLC

BD
CRD#: 31730
SAN FRANCISCO, CA
Past

July 7, 2010 - January 14, 2013

LIVEVOL SECURITIES, INC.

BD
CRD#: 23670
CHICAGO, IL
Past

October 15, 2009 - September 30, 2010

ICE EXECUTION SERVICES, LLC

BD
CRD#: 146496
NEW YORK, NY

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
Illinois
(5/6/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/23/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/12/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/30/2024
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/22/2021
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 10/14/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/27/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CENACLE CAPITAL MANAGEMENT, LLC
CENACLE CAPITAL MANAGEMENT, LLC

CRD#: 130804 / SEC#:

Illinois
Registered Investment Advisory firm - (4/29/2004 Approved)
Louisiana
Registered Investment Advisory firm - (12/18/2024 Terminated)
Texas
Registered Investment Advisory firm - (2/4/2015 Conditional Restricted)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Glenview, IL
Mailing Address
Phone number
(847) 686-4800
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts130
AUM (Assets Under Management)$ 20,000,000

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

CENACLE CAPITAL MANAGEMENT, LLC

CRD#: 130804Chicago, IL

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