Alan L. Brockhaus

RITHOLTZ WEALTH MANAGEMENT

New Orleans, LA 70115

CRD#: 5852489

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.

UNDERCURATOR FOR BROTHER, INV RELATED, SLIDELL, LA, START: 9/17/2013, 1 HR/MONTH, 0 HRS DURING TRADING. GUIDELIGHT, LLC, INVT RELATED, SLIDELL, LA, 100% OWNERSHIP, START DATE 2/1/2023, 5 HRS PER MONTH, 0 HRS DURING TRADING, REAL ESTATE INVESTING.

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

CRD#: 19616

METAIRIE, LA

Past

April 10, 2014 - May 21, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NEW ORLEANS, LA

Past

May 7, 2012 - October 7, 2013

SCOTTRADE, INC.

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".

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)

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

State Security Law Exam

IAR

Series 65

Date: 11/2/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/15/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/4/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/27/2016

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/6/2016

General Securities Sales Supervisor - Options Module Examination

Current Firm

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

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 (7/2/2025)

Regulatory assets under management

Total Number of Accounts	11,801
AUM (Assets Under Management)	$ 6,459,181,176

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E 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.

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Firm Stability Insights

Alan L. Brockhaus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Louis Brockhaus's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

SCOTTRADE, INC.

Primary Firm SEC Registration

RITHOLTZ WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/2015

Series 63

Date: 6/15/2012

SIE

Date: 10/1/2018

Series 7

Date: 5/4/2012

Series 10

Date: 7/27/2016

Series 9

Date: 5/6/2016

Current Firm

RITHOLTZ WEALTH MANAGEMENT

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RITHOLTZ WEALTH MANAGEMENT

TRUST BUT VERIFY

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