Alexander J. Strauss

RDM CAPITAL ASSOCIATES

Red Bank, NJ 07701

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CRD#: 6346353

Professional summary

Alexander J Strauss, who also goes by Alexander J Srauss, is a registered financial advisor currently at RDM CAPITAL ASSOCIATES INC located in Red Bank, New Jersey.

Alexander is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Alexander has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alexander J Srauss

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 J Strauss'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

May 3, 2022 - Present

RDM CAPITAL ASSOCIATES INC

Office #1: 263 Broad St, Red Bank, NJ 07701

RIA

CRD#: 106941

Red Bank, NJ

Past

October 26, 2021 - April 25, 2022

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW YORK, NY

Past

July 22, 2016 - April 25, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

August 25, 2014 - June 23, 2016

SIDOTI & COMPANY, LLC

CRD#: 102860

NEW YORK, 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".

RDM CAPITAL ASSOCIATES INC

CRD#: 106941 / SEC#: 801-129856

RIA

Registered Investment Advisory firm - (4/9/2024 Approved)

Connecticut

Registered Investment Advisory firm - (9/23/2021 Terminated)

Florida

Registered Investment Advisory firm - (5/7/2024 Terminated)

New York

Registered Investment Advisory firm - (5/7/2024 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.

Highlighted states indicate IAR registrations

IAR

Florida
(5/25/2022)

IAR

New Jersey
(7/26/2022)

IAR

New York
(5/3/2022)

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

IAR

Series 65

Date: 5/24/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/22/2014

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: 8/25/2014

General Securities Representative Examination

Current Firm

RDM CAPITAL ASSOCIATES INC

CRD#: 106941 / SEC#: 801-129856

RIA

Registered Investment Advisory firm - (4/9/2024 Approved)

Connecticut

Registered Investment Advisory firm - (9/23/2021 Terminated)

Florida

Registered Investment Advisory firm - (5/7/2024 Terminated)

New York

Registered Investment Advisory firm - (5/7/2024 Terminated)

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Contact information

Main Address

263 Broad St, Red Bank, NJ 07701

Mailing Address

Phone number

(732) 576-1671

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

20250207 RDM BROCHURE (2/10/2025)

Regulatory assets under management

Total Number of Accounts	247
AUM (Assets Under Management)	$ 127,578,442

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

Alexander J. Strauss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander J Strauss's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

SIDOTI & COMPANY, LLC

Primary Firm SEC Registration

RDM CAPITAL ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/2022

Series 63

Date: 9/22/2014

SIE

Date: 10/1/2018

Series 7

Date: 8/25/2014

Current Firm

RDM CAPITAL ASSOCIATES INC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RDM CAPITAL ASSOCIATES INC

TRUST BUT VERIFY

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