Alexander N. Knapp

THOMAS J. HERZFELD ADVISORS

New York, NY

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CRD#: 6074535

Professional summary

Alexander Nathan Knapp, who also goes by Alex Knapp, is a registered financial advisor currently at THOMAS J. HERZFELD ADVISORS, INC. located in New York, New York.

Alexander is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Alexander has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alex Knapp

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 Alexander Nathan Knapp'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

July 12, 2018 - Present

THOMAS J. HERZFELD ADVISORS, INC.

RIA

CRD#: 108369

New York, NY

Past

January 9, 2017 - May 17, 2018

AVIVA INVESTORS AMERICAS

RIA

CRD#: 163989

New York, NY

Past

September 26, 2012 - August 23, 2016

BALLENTINE PARTNERS

RIA

CRD#: 152802

WALTHAM, MA

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".

THOMAS J. HERZFELD ADVISORS, INC.

HERZFELD CUBA | THOMAS J. HERZFELD ADVISORS, INC. | HERZFELD THOMAS J ADVISORS INC

CRD#: 108369 / SEC#: 801-20866

RIA

Registered Investment Advisory firm - (4/9/1984 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

Florida
(7/12/2018)

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: 9/24/2012

Uniform Investment Adviser Law Examination

Current Firm

THOMAS J. HERZFELD ADVISORS, INC.

HERZFELD CUBA | THOMAS J. HERZFELD ADVISORS, INC. | HERZFELD THOMAS J ADVISORS INC

CRD#: 108369 / SEC#: 801-20866

RIA

Registered Investment Advisory firm - (4/9/1984 Approved)

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Contact information

Main Address

119 Washington Avenue Suite 504, Miami Beach, FL 33139

Mailing Address

Phone number

(305) 777-1660

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THOMAS J. HERZFELD ADVISORS SEPTEMBER 2025 BROCHURE (9/12/2025)

Regulatory assets under management

Total Number of Accounts	294
AUM (Assets Under Management)	$ 847,596,732

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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Alexander N. Knapp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Nathan Knapp's CRS (Customer Relationship Summary).

Certified licenses

Experience

THOMAS J. HERZFELD ADVISORS, INC.

AVIVA INVESTORS AMERICAS

BALLENTINE PARTNERS

Primary Firm SEC Registration

THOMAS J. HERZFELD ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/2012

Current Firm

THOMAS J. HERZFELD ADVISORS, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THOMAS J. HERZFELD ADVISORS, INC.

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