Stephanie M. Kelm

RISE ADVISORS

Rochester, NY 14625

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CRD#: 6165565

Professional summary

Stephanie Michel Kelm, who also goes by Stephanie Michel Patak, is a registered financial advisor currently at RISE ADVISORS, LLC located in Rochester, New York.

Stephanie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Stephanie has worked at 3 firms and has passed the Series 63, Series 65, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephanie Michel Patak

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. Rise Advisors, LLC., Start Date: 06/2020, 400 Linden Oaks, Ste. 120, Rochester, NY 14625, Partnership, RIA, Partner/Financial Planner, IAR and CCO of an SEC registered RIA, Investment Related, 200 Hours per month, 6 Hours per day during trading hours. 2. Life Insurance Agent, Start Date: 09/01/2021, 400 Linden Oaks, Ste. 120, Rochester, NY 14625, Insurance Agency, Agent, life insurance agent, Not Investment Related, 1 Hour per month, .001 Hours per day during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Michel Kelm'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

August 26, 2020 - Present

RISE ADVISORS, LLC

Office #1: 400 Linden Oaks Suite 120, Rochester, NY 14625

RIA

CRD#: 309760

Rochester, NY

Past

March 16, 2021 - March 23, 2022

MUTUAL SECURITIES, INC.

CRD#: 13092

Rochester, NY

Past

June 25, 2019 - October 15, 2020

NORTHLANDING FINANCIAL PARTNERS, LLC

RIA

CRD#: 167055

ROCHESTER, NY

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".

RISE ADVISORS, LLC

CRD#: 309760 / SEC#: 801-119066

RIA

Registered Investment Advisory firm - (7/16/2020 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.

Highlighted states indicate IAR registrations

IAR

New York
(11/8/2022)

IAR

Texas
(11/9/2022)

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

Series 63

Date: 4/1/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/25/2019

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 3/16/2021

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 2/12/2021

Securities Industry Essentials Examination

Current Firm

RISE ADVISORS, LLC

CRD#: 309760 / SEC#: 801-119066

RIA

Registered Investment Advisory firm - (7/16/2020 Approved)

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Contact information

Main Address

400 Linden Oaks Suite 120, Rochester, NY 14625

Mailing Address

Phone number

(585) 565-3444

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORMADVBROCHURE (3/3/2025)

Regulatory assets under management

Total Number of Accounts	1,169
AUM (Assets Under Management)	$ 340,850,820

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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Advisor Monitoring

Firm Stability Insights

Stephanie M. Kelm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Michel Kelm's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL SECURITIES, INC.

NORTHLANDING FINANCIAL PARTNERS, LLC

Primary Firm SEC Registration

RISE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/1/2021

Series 65

Date: 6/25/2019

Series 6TO

Date: 3/16/2021

SIE

Date: 2/12/2021

Current Firm

RISE ADVISORS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RISE ADVISORS, LLC

TRUST BUT VERIFY

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