Troy Caesar Alley III
Professional Summary
Troy Caesar Alley III, who also goes by Troy Caesar Alley, is a registered financial advisor currently at THIRD GENERATION CAPITAL MANAGEMENT located in Dallas, Texas and ARK WEALTH MANAGEMENT located in Austin, Texas. Troy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Troy has worked at 2 firms and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Troy Caesar Alley III, Troy Caesar Alley
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
ARK FINANCIAL | ARK WEALTH MANAGEMENT, LLC | ARK WEALTH MANAGEMENT
Contact Information
Main Address
10800 Pecan Park Blvd Ste 100, Austin, TX 78750Phone Number
(512) 660-5703# of Employees
2SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
611AUM (Assets Under Management)
$216,000,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ARK FINANCIAL | ARK WEALTH MANAGEMENT, LLC | ARK WEALTH MANAGEMENT
State Registrations and Notice Filings
(5/29/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Troy Caesar Alley III's CRS (Customer Relationship Summary).
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