Richard A. Raizes

PLUTUS21 CAPITAL MANAGEMENT, L.L.C

Dallas, TX 75201

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CRD#: 6561894

Professional summary

Richard Aaron Raizes, who also goes by Richard Raizes, is a registered financial advisor currently at PLUTUS21 CAPITAL MANAGEMENT, L.L.C located in Dallas, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Richard has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Raizes

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.

Partner at Plutus21 Blockchain Capital, LLC a Texas Exempt Reporting Adviser to private funds focused in the digital asset space on blockchain and technology investments. Investment related. 6116 N. Central Expy, Suite 700 Dallas, TX 75206. Start date was October 2017. Number of hours per month you devote to this business is 20 hours and during trading hours. Mr. Raizes is the Co-head of the Firm's Investment Committee, which is also responsible for setting and reviewing the investment strategies prior to and after launch.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Aaron Raizes'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®

None

Experience

Current

July 12, 2023 - Present

PLUTUS21 CAPITAL MANAGEMENT, L.L.C

Office #1: 200 Crescent Court Suite 1430, Dallas, TX 75201

RIA

CRD#: 322881

Dallas, TX

Past

December 23, 2015 - October 10, 2017

SG AMERICAS SECURITIES, LLC

CRD#: 128351

DALLAS, TX

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
(7/12/2023)

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: 1/30/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 12/23/2015

Investment Banking Registered Representative Examination

Current Firm

PLUTUS21 CAPITAL MANAGEMENT, L.L.C

PARI CAPITAL USA, L.L.C. | PLUTUS21 CAPITAL MANAGEMENT, L.L.C

CRD#: 322881 / SEC#:

Texas

Registered Investment Advisory firm - (7/11/2023 Approved)

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Contact information

Main Address

200 Crescent Court Suite 1430, Dallas, TX 75201

Mailing Address

Phone number

(469) 567-9295

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 870,842

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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Richard A. Raizes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Aaron Raizes's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLUTUS21 CAPITAL MANAGEMENT, L.L.C

SG AMERICAS SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/30/2023

Series 63

Date: 11/9/2015

SIE

Date: 10/10/2017

Series 79

Date: 12/23/2015

Current Firm

PLUTUS21 CAPITAL MANAGEMENT, L.L.C

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PLUTUS21 CAPITAL MANAGEMENT, L.L.C

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