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Alan Louis Brockhaus
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Alan L. Brockhaus

RITHOLTZ WEALTH MANAGEMENT
New Orleans, LA 70115
CRD#: 5852489
Alan Louis Brockhaus
AdvisorCheck Check Mark
Alan Louis BrockhausRITHOLTZ WEALTH MANAGEMENT

Professional summary

Alan Louis Brockhaus, CFP® is a registered financial advisor currently at RITHOLTZ WEALTH MANAGEMENT located in New Orleans, Louisiana.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Alan has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

What are your service offerings?
Investment Planning
Employee and Employer Plan Ben...
Retirement Income Management
Social Security Planning
Budgeting
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 Alan Louis Brockhaus'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: 2020

Experience

Current

June 12, 2023 - Present

RITHOLTZ WEALTH MANAGEMENT

Office #1: 2529 Jena Street 2nd Floor, New Orleans, LA 70115
RIA
CRD#: 168652
New Orleans, LA
Past

November 2, 2015 - June 6, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
METAIRIE, LA
Past

June 15, 2015 - June 6, 2023

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
METAIRIE, LA
Past

April 10, 2014 - May 21, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEW ORLEANS, LA
Past

May 7, 2012 - October 7, 2013

SCOTTRADE, INC.

BD
CRD#: 8206
METAIRIE, LA

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".
RW
RITHOLTZ WEALTH MANAGEMENT
COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA
Registered Investment Advisory firm - (9/16/2013 Approved)

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
Louisiana
(6/12/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/2/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/15/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/4/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/27/2016
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/6/2016
General Securities Sales Supervisor - Options Module Examination

Current Firm

RW
RITHOLTZ WEALTH MANAGEMENT
COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA
Registered Investment Advisory firm - (9/16/2013 Approved)
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Contact information

Main Address
24 West 40th Street 15th Floor, New York, NY 10018
Mailing Address
Phone number
(212) 625-1200
Established
Firm type
Fiscal year end
# of Employees
83

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/29/2026)

Regulatory assets under management

Total Number of Accounts12,587
AUM (Assets Under Management)$ 7,698,264,641

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/04/2026
Cover Page
Report
05/28/2025
Cover Page
Report
04/10/2024
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.

Company Information

RITHOLTZ WEALTH MANAGEMENT

CRD#: 168652New Orleans, LA 70115

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