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PH

Patrick M. Herlihy

RMC INVESTMENT ADVISORS
West Hartford, CT 06105
Some features on this profile are disabled
CRD#: 6071932
PH

Professional summary

Patrick Michael Herlihy is a registered financial advisor currently at RMC INVESTMENT ADVISORS located in West Hartford, Connecticut.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Patrick has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

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 Patrick Michael Herlihy'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®
None

Experience

Current

May 26, 2021 - Present

RMC INVESTMENT ADVISORS

Office #1: 643 Prospect Avenue, West Hartford, CT 06105
RIA
CRD#: 104674
West Hartford, CT

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".
RI
RMC INVESTMENT ADVISORS
RESOURCES MANAGEMENT CORP | RMC INVESTMENT ADVISORS

CRD#: 104674 / SEC#: 801-21902

RIA
Registered Investment Advisory firm - (8/24/1984 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
Connecticut
(5/26/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/26/2021
Uniform Investment Adviser Law Examination

Current Firm

RI
RMC INVESTMENT ADVISORS
RESOURCES MANAGEMENT CORP | RMC INVESTMENT ADVISORS

CRD#: 104674 / SEC#: 801-21902

RIA
Registered Investment Advisory firm - (8/24/1984 Approved)
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Contact information

Main Address
643 Prospect Avenue, West Hartford, CT 06105
Mailing Address
Phone number
(860) 561-1245
Established
Firm type
Fiscal year end
# of Employees
14

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 - BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts852
AUM (Assets Under Management)$ 986,774,418

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/23/2025
Cover Page
Report
10/27/2023
Cover Page
Report
11/18/2022
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.

Company Information

RMC INVESTMENT ADVISORS

CRD#: 104674West Hartford, CT 06105

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