Rikin Shah

OCTAVEWEALTH

San Francisco, CA 94103

Some features on this profile are disabled

CRD#: 6328214

Professional summary

Rikin Shah is a registered financial advisor currently at OCTAVEWEALTH located in San Francisco, California.

Rikin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Rikin has worked at 1 firm and has passed the Series 65 exam.

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 Rikin Shah'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

February 27, 2017 - Present

OCTAVEWEALTH

Office #1: 14 Mint Plaza Ste 500, San Francisco, CA 94103

RIA

CRD#: 170975

San Francisco, CA

Past

April 8, 2016 - December 31, 2016

OCTAVEWEALTH

RIA

CRD#: 170975

SAN FRANCISCO, CA

Past

August 12, 2014 - December 31, 2015

OCTAVEWEALTH

RIA

CRD#: 170975

SAN FRANCISCO, CA

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".

OCTAVEWEALTH

BIGCALC | QUILLU INC | OCTAVEWEALTH

CRD#: 170975 / SEC#: 801-79758

RIA

Registered Investment Advisory firm - (5/27/2014 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

California
(2/27/2017)

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: 8/12/2014

Uniform Investment Adviser Law Examination

Current Firm

OCTAVEWEALTH

BIGCALC | QUILLU INC | OCTAVEWEALTH

CRD#: 170975 / SEC#: 801-79758

RIA

Registered Investment Advisory firm - (5/27/2014 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

14 Mint Plaza Ste 500, San Francisco, CA 94103

Mailing Address

Phone number

(855) 962-8283

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	7,700
AUM (Assets Under Management)	$ 22,106,000

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.

Similar Advisors

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Rikin Shah

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rikin Shah's CRS (Customer Relationship Summary).

Certified licenses

Experience

OCTAVEWEALTH

OCTAVEWEALTH

OCTAVEWEALTH

Primary Firm SEC Registration

OCTAVEWEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 8/12/2014

Current Firm

OCTAVEWEALTH

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OCTAVEWEALTH

TRUST BUT VERIFY

Similar Advisors