SL
Samuel Y. Lee
SVRN ASSET MANAGEMENT
Austin, TX 78701
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CRD#: 6480717
SL
Professional summary
Samuel Y Lee is a registered financial advisor currently at SVRN ASSET MANAGEMENT, LLC located in Austin, Texas.
Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Samuel 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.
Militia Investments, LLC is an SEC-registered investment adviser (an investment-related business). Its address is 111 Congress Avenue, Suite 500, Austin, TX 78701. Samuel Lee is Managing Member and Chief Compliance Officer at Militia Investments, LLC since May 2024. Samuel Lee devotes approximately 40 hours/month to Militia Investments, LLC, and 20 hours during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Y Lee's 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®
NoneExperience
Current
June 16, 2015 - Present
SVRN ASSET MANAGEMENT, LLC
Office #1: 111 Congress Avenue Suite 500, Austin, TX 78701RIA
CRD#: 222518
Austin, TX
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".
SA
SVRN ASSET MANAGEMENT, LLC
SEVERIAN ASSET MANAGEMENT | SVRN ASSET MANAGEMENT, LLC | SVRN ASSET MANAGEMENT | SEVERIAN ASSET MANAGEMENT, LLC
CRD#: 222518 / SEC#: 801-121279
RIA
Registered Investment Advisory firm - (5/21/2021 Approved)Illinois
Registered Investment Advisory firm - (5/24/2021 Terminated)Texas
Registered Investment Advisory firm - (5/24/2021 Terminated)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
Texas(6/16/2015)
Current Firm
SA
SVRN ASSET MANAGEMENT, LLC
SEVERIAN ASSET MANAGEMENT | SVRN ASSET MANAGEMENT, LLC | SVRN ASSET MANAGEMENT | SEVERIAN ASSET MANAGEMENT, LLC
CRD#: 222518 / SEC#: 801-121279
RIA
Registered Investment Advisory firm - (5/21/2021 Approved)Illinois
Registered Investment Advisory firm - (5/24/2021 Terminated)Texas
Registered Investment Advisory firm - (5/24/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
111 Congress Avenue Suite 500, Austin, TX 78701
Mailing Address
Phone number
(773) 442-2294
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 150 |
| AUM (Assets Under Management) | $ 211,949,639 |
Red Flags
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