Adam L. Rainey

STAR CAPITAL

Rochester, MN 55901

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CRD#: 6232758

Professional summary

Adam Lee Rainey, CFP® is a registered financial advisor currently at STAR CAPITAL INC. located in Rochester, Minnesota and STRATEGIC ASSET MANAGEMENT LLC. located in Rochester, Minnesota.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Adam has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

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 Adam Lee Rainey'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: 2017

Experience

Current

October 11, 2016 - Present

STAR CAPITAL INC.

Office #1: 2434 Superior Dr. Nw Suite 101, Rochester, MN 55901

RIA

CRD#: 171057

Rochester, MN

Current

March 26, 2024 - Present

STRATEGIC ASSET MANAGEMENT LLC.

Office #1: 2434 Superior Drive Nw Suite 101, Rochester, MN 55901

RIA

CRD#: 306384

Rochester, MN

Current

October 8, 2015 - Present

PEAK BROKERAGE SERVICES, LLC

Office #1: 2434 Superior Dr Nw Suite 101, Rochester, MN 55901

CRD#: 157045

Rochester, MN

Past

March 9, 2015 - October 8, 2015

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

ROCHESTER, MN

Past

November 14, 2014 - October 8, 2015

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

ROCHESTER, MN

Past

June 12, 2014 - November 14, 2014

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

CRD#: 130139

PLYMOUTH, MN

Past

May 23, 2014 - November 26, 2014

LPL FINANCIAL LLC

CRD#: 6413

ROCHESTER, MN

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".

STRATEGIC ASSET MANAGEMENT LLC.

CRD#: 306384 / SEC#: 801-120401

RIA

Registered Investment Advisory firm - (2/26/2021 Approved)

Iowa

Registered Investment Advisory firm - (3/1/2021 Terminated)

Minnesota

Registered Investment Advisory firm - (3/11/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/8/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Iowa
(9/9/2016)

Minnesota
(10/8/2015)

IAR

Minnesota
(10/11/2016)

Wisconsin
(9/9/2016)

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: 3/9/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/13/2014

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: 5/22/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STRATEGIC ASSET MANAGEMENT LLC.

CRD#: 306384 / SEC#: 801-120401

RIA

Registered Investment Advisory firm - (2/26/2021 Approved)

Iowa

Registered Investment Advisory firm - (3/1/2021 Terminated)

Minnesota

Registered Investment Advisory firm - (3/11/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/8/2021 Terminated)

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Contact information

Main Address

2434 Superior Drive Nw Suite 101, Rochester, MN 55901

Mailing Address

Phone number

(888) 526-8755

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

ADV PART 2A- STRATEGIC ASSET MANAGEMENT LLC. (1/22/2026)

Regulatory assets under management

Total Number of Accounts	233
AUM (Assets Under Management)	$ 218,258,845

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

Adam L. Rainey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Lee Rainey's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC ASSET MANAGEMENT LLC.

PEAK BROKERAGE SERVICES, LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

STRATEGIC ASSET MANAGEMENT LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/9/2015

Series 63

Date: 10/13/2014

SIE

Date: 10/1/2018

Series 7

Date: 5/22/2014

FINRA

Current Firm

STRATEGIC ASSET MANAGEMENT LLC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGIC ASSET MANAGEMENT LLC.

TRUST BUT VERIFY

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