Adam A. Avila

PALLAS CAPITAL ADVISORS

Newport, RI 02840

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CRD#: 6124928

Professional summary

Adam Alexander Avila, who also goes by Adam Avila, is a registered financial advisor currently at PALLAS CAPITAL ADVISORS, LLC located in Newport, Rhode Island and PURSHE KAPLAN STERLING INVESTMENTS located in Newport, Rhode Island.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Adam has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam Avila

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.

1) Pallas Capital Advisors. Investment-related. At registered location. RIA. IAR. 9/2022. 160 hrs/month. 160 hrs during securities hrs. Manage client portfolios by taking into account economic outlook, portfolio allocation, and financial planning when needed. 2) Fixed Insurance. Not investment-related. At registered location. Fixed Insurance. Agent. 9/2022. 10 hrs/month. 10 hrs during securities hrs. Sell insurance/annuity products to help clients meet objectives.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Alexander Avila'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

June 10, 2022 - Present

PALLAS CAPITAL ADVISORS, LLC

Office #1: 51 Long Wharf Mall, Newport, RI 02840

RIA

CRD#: 310327

Newport, RI

Current

February 4, 2025 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 51 Long Wharf Mall, Newport, RI 02840

CRD#: 35747

Newport, RI

Past

August 24, 2022 - November 8, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Newport, RI

Past

April 8, 2020 - June 20, 2022

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

WARWICK, RI

Past

April 8, 2020 - June 20, 2022

PRUCO SECURITIES, LLC.

CRD#: 5685

WARWICK, RI

Past

April 23, 2015 - February 26, 2020

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

WARWICK, RI

Past

December 12, 2012 - February 26, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

WARWICK, RI

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".

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Hampshire
(4/9/2025)

IAR

Rhode Island
(6/10/2022)

Rhode Island
(2/24/2025)

South Carolina
(4/23/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/16/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/4/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/10/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/11/2012

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 Approved)

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Contact information

Main Address

45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

Mailing Address

Phone number

(781) 971-5052

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PALLAS DISCLOSURE BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	3,780
AUM (Assets Under Management)	$ 3,195,166,308

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

Adam A. Avila

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Alexander Avila's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

PALLAS CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/2015

Series 63

Date: 1/4/2013

Series 7TO

Date: 10/10/2019

SIE

Date: 10/1/2018

Series 6

Date: 12/11/2012

FINRA

Current Firm

PALLAS CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PALLAS CAPITAL ADVISORS, LLC

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