Dax P. Rodriguez

MERRIWETHER INVESTMENTS

Chicago, IL

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CRD#: 5700954

Professional summary

Dax Pan Rodriguez is a registered financial advisor currently at MERRIWETHER INVESTMENTS, INC. located in Chicago, Illinois and DNA SECURITIES LLC 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 6 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.

Sarna Technologies is a non broker-dealer affiliate of Sarna Finance LLC through the common parent company Sarna Holdings. Mr. Rodriguez devotes approximately 1 hour per month consulting for Sarna Technologies. Co-Founder, registered Investment Advisor of Merriwether Investments, Inc., a Laguna Beach based, fee-only registered investment advisor that offers wealth management, wealth transfer, financial, retirement, and estate planning to individual investors and institutions (5 hours a month, not during market hours). This RIA role does not involve making any trading or investment decisions. New Leaf Capital - Chicago, IL - Advisory Board Member - provide advice on potential technology and fintech investments. .5 hours per month. Strands Technology LLC - technology provider, serve as an Advisor on various topics presented by Strands non are investment related. 100 hours per month when needed. Mithril Capital LLC - San Francisco, CA. Partner since May 2024. 4 hours per month. DNA Brokerage LLC - Chicago, IL. Futures Firm - Chief Commercial Officer. 40 hours per month.

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

September 23, 2022 - Present

MERRIWETHER INVESTMENTS, INC.

RIA

CRD#: 310908

Chicago, IL

Current

March 1, 2022 - Present

DNA SECURITIES LLC

Office #1: 141 W. Jackson, Suite 1710a, Chicago, IL 60604Office #2: 141 W. Jackson Suite 1710a, Chicago, IL 60604

CRD#: 312799

Chicago, IL

Past

September 29, 2014 - September 22, 2016

SUMO CAPITAL, LLC

CRD#: 146310

CHICAGO, IL

Past

March 14, 2013 - July 29, 2014

CUTLER GROUP, LLC

CRD#: 31730

SAN FRANCISCO, CA

Past

July 7, 2010 - January 14, 2013

LIVEVOL SECURITIES, INC.

CRD#: 23670

CHICAGO, IL

Past

October 15, 2009 - September 30, 2010

ICE EXECUTION SERVICES, LLC

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.

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

California
(9/23/2022)

Florida
(2/2/2023)

Illinois
(6/3/2022)

IAR

Illinois
(9/30/2022)

Texas
(2/2/2023)

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

IAR

Series 65

Date: 9/23/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/12/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/30/2024

National Commodity Futures Examination

General Industry/Product Exam

Series 7TO

Date: 9/22/2021

General Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 10/14/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/27/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MERRIWETHER INVESTMENTS, INC.

KAI WEALTH | MERRIWETHER INVESTMENTS, INC.

CRD#: 310908 / SEC#:

California

Registered Investment Advisory firm - (2/25/2021 Approved)

Illinois

Registered Investment Advisory firm - (6/3/2022 Approved)

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Contact information

Main Address

Laguna Beach, CA

Mailing Address

335 Heather Pl., Laguna Beach, CA 92651

Phone number

(949) 416-5343

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	28
AUM (Assets Under Management)	$ 3,253,308

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Dax P. Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dax Pan Rodriguez's CRS (Customer Relationship Summary).

Certified licenses

Experience

DNA SECURITIES LLC

SUMO CAPITAL, LLC

CUTLER GROUP, LLC

LIVEVOL SECURITIES, INC.

ICE EXECUTION SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/2022

Series 63

Date: 7/12/2022

Series 3

Date: 8/30/2024

Series 7TO

Date: 9/22/2021

Series 7

Date: 10/14/2009

Series 24

Date: 1/27/2022

FINRA

Current Firm

MERRIWETHER INVESTMENTS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MERRIWETHER INVESTMENTS, INC.

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