Isaac Richard

MAVROS CAPITAL MANAGEMENT

NEW YORK, NY 10003

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CRD#: 6654082

Professional summary

Isaac Richard, who also goes by Isaac Richard III, Isaac Richard, is a registered financial advisor currently at MAVROS CAPITAL MANAGEMENT, LLC located in New York, New York and FINALIS SECURITIES LLC located in New York, New York.

Isaac is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Isaac has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Isaac Richard Iii | Isaac Richard

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 Isaac Richard'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

August 11, 2025 - Present

MAVROS CAPITAL MANAGEMENT, LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003

RIA

CRD#: 327785

NEW YORK, NY

Current

January 22, 2026 - Present

FINALIS SECURITIES LLC

Office #1: 450 Lexington Ave, New York, NY 10017

CRD#: 7691

LOS ANGELES, 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".

MAVROS CAPITAL MANAGEMENT, LLC

MAVROS CAPITAL GROUP | MAVROS CAPITAL MANAGEMENT, LLC | MAVROS CAPITAL GROUP, INC

CRD#: 327785 / SEC#: 801-133954

RIA

Registered Investment Advisory firm - (8/8/2025 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(8/11/2025)

California
(1/22/2026)

New York
(1/22/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/4/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/19/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MAVROS CAPITAL MANAGEMENT, LLC

MAVROS CAPITAL GROUP | MAVROS CAPITAL MANAGEMENT, LLC | MAVROS CAPITAL GROUP, INC

CRD#: 327785 / SEC#: 801-133954

RIA

Registered Investment Advisory firm - (8/8/2025 Approved)

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Contact information

Main Address

228 Park Ave South Suite 85550, New York, NY 10003

Mailing Address

Phone number

(424) 522-2524

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2 BROCHURE (8/1/2025)

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 32,102,083

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

Isaac Richard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FINALIS SECURITIES LLC

MAVROS CAPITAL MANAGEMENT, LLC

GT SECURITIES, INC.

MAVROS CAPITAL MANAGEMENT, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

MORGAN STANLEY

MORGAN STANLEY

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MAVROS CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/4/2017

SIE

Date: 10/1/2018

Series 7

Date: 6/19/2017

FINRA

Current Firm

MAVROS CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAVROS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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