Robert M Hum
Professional Summary
Robert M Hum is a registered financial advisor currently at SEI INVESTMENTS MANAGEMENT CORP located in New York, New York and SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania. Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
15 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
GOAL INVESTOR | SEI PRIVATE WEALTH MANAGEMENT | SEI INVESTMENTS MANAGEMENT CORP | SEI HUNTINGTON STEELE | SEI FIXED INCOME PORTFOLIO MANAGEMENT | SEI ADVISOR NETWORK | GOALINVESTOR
Contact Information
Main Address
One Freedom Valley Drive, Oaks, PA 19456Phone Number
(610) 676-1000# of Employees
434SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
112,627AUM (Assets Under Management)
$216,428,500,660Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | Cover Page | Report |
| 01/27/2025 | Cover Page | Report |
| 10/25/2023 | Cover Page | Report |
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
GOAL INVESTOR | SEI PRIVATE WEALTH MANAGEMENT | SEI INVESTMENTS MANAGEMENT CORP | SEI HUNTINGTON STEELE | SEI FIXED INCOME PORTFOLIO MANAGEMENT | SEI ADVISOR NETWORK | GOALINVESTOR
State Registrations and Notice Filings
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(9/2/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
(8/29/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Robert M Hum's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
