Caleb R. Hopkins

NAVIGATE WEALTH MANAGEMENT

Birmingham, AL 35209

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CRD#: 5847819

Professional summary

Caleb Ryan Hopkins, CFP® is a registered financial advisor currently at NAVIGATE WEALTH MANAGEMENT, LLC located in Birmingham, Alabama and NAVIGATE 401K, LLC located in Birmingham, Alabama.

Caleb is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Caleb has worked at 3 firms .

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 Caleb Ryan Hopkins's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

February 19, 2015 - Present

NAVIGATE WEALTH MANAGEMENT, LLC

Office #1: One Independence Plaza Suite 816, Birmingham, AL 35209

RIA

CRD#: 173770

Birmingham, AL

Current

July 23, 2020 - Present

NAVIGATE 401K, LLC

Office #1: One Independence Plaza Suite 816, Birmingham, AL 35209

RIA

CRD#: 309466

Birmingham, AL

Past

November 2, 2010 - January 7, 2015

KINSIGHT, LLC

RIA

CRD#: 116047

BIRMINGHAM, AL

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".

NAVIGATE WEALTH MANAGEMENT, LLC

ABEONA WEALTH | NAVIGATE WEALTH MANAGEMENT, LLC | GRAHS, CARL J

CRD#: 173770 / SEC#: 801-114048

RIA

Registered Investment Advisory firm - (9/26/2018 Approved)

Alabama

Registered Investment Advisory firm - (10/2/2018 Terminated)

Tennessee

Registered Investment Advisory firm - (10/2/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Alabama
(2/19/2015)

IAR

Texas
(3/21/2024)

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.

Exams

Current Firm

NAVIGATE WEALTH MANAGEMENT, LLC

ABEONA WEALTH | NAVIGATE WEALTH MANAGEMENT, LLC | GRAHS, CARL J

CRD#: 173770 / SEC#: 801-114048

RIA

Registered Investment Advisory firm - (9/26/2018 Approved)

Alabama

Registered Investment Advisory firm - (10/2/2018 Terminated)

Tennessee

Registered Investment Advisory firm - (10/2/2018 Terminated)

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Contact information

Main Address

One Independence Plaza Suite 816, Birmingham, AL 35209

Mailing Address

Phone number

(205) 224-9500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	776
AUM (Assets Under Management)	$ 354,589,456

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/02/2022	Cover Page	Report

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.

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Caleb R. Hopkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caleb Ryan Hopkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

NAVIGATE WEALTH MANAGEMENT, LLC

NAVIGATE 401K, LLC

KINSIGHT, LLC

Primary Firm SEC Registration

NAVIGATE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Current Firm

NAVIGATE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NAVIGATE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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