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DS

Daniel J. Simon

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CRD#: 5817889
DS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Jay Simon, who also goes by Daniel Simon, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2017. Daniel had worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Simon

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.
Elk River Capital Partners 1, LP is a real estate private equity fund I founded and now manage as the GP through Elk River Capital Management, LLC. I am also the CEO of Elevant Advisors, LLC - A mgt. consulting firm with multiple family office and private equity clients. I offer no financial advice through this business.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 28, 2019 - April 24, 2024

ELK RIVER CAPITAL MANAGEMENT, LLC

RIA
CRD#: 269887
Steamboat Springs, CO
Past

June 2, 2017 - December 31, 2018

ELK RIVER CAPITAL MANAGEMENT, LLC

RIA
CRD#: 269887
STEAMBOAT SPRINGS, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/26/2016
Uniform Investment Adviser Law Examination

Current Firm

ER
ELK RIVER CAPITAL MANAGEMENT, LLC
ELK RIVER CAPITAL MANAGEMENT, LLC | SIMON, DANIEL JAY | ELK RIVER CAPITAL PARTNERS GP, LLC

CRD#: 269887 / SEC#:

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Contact information

Main Address
Steamboat Springs, CO
Mailing Address
Po Box 770014, Steamboat Springs, CO 80477
Phone number
(970) 260-8087
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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 / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
ColoradoERA - Withdrawn3/2/2017

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.

Company Information

ELK RIVER CAPITAL MANAGEMENT, LLC

CRD#: 269887

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