CR
Carlos Gustavo Ribeiro Fernandes
RYE BROOK CAPITAL
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 6796869
CR
Professional summary
Carlos Gustavo Ribeiro Fernandes is a registered financial advisor currently at RYE BROOK CAPITAL, LLC located in Greenwich, Connecticut.
Carlos Gustavo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Carlos Gustavo 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Gustavo Ribeiro Fernandes'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
December 22, 2020 - Present
RYE BROOK CAPITAL, LLC
Office #1: 777 West Putnam Ave Suite 300, Greenwich, CT 06830RIA
CRD#: 288517
Greenwich, CT
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".
RB
RYE BROOK CAPITAL, LLC
RIBEIRO FERNANDES, CARLOS GUSTAVO | RYE BROOK CAPITAL, LLC
CRD#: 288517 / SEC#: 801-119977
RIA
Registered Investment Advisory firm - (12/16/2020 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.Highlighted states indicate IAR registrations
IAR
Connecticut(12/22/2020)
Current Firm
RB
RYE BROOK CAPITAL, LLC
RIBEIRO FERNANDES, CARLOS GUSTAVO | RYE BROOK CAPITAL, LLC
CRD#: 288517 / SEC#: 801-119977
RIA
Registered Investment Advisory firm - (12/16/2020 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
777 West Putnam Ave Suite 300, Greenwich, CT 06830
Mailing Address
Phone number
(203) 542-2822
Established
Firm type
Fiscal year end
# of Employees
1
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 23 |
| AUM (Assets Under Management) | $ 278,633,406 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 11/16/2020 |
| Connecticut | ERA - Withdrawn | 11/16/2020 |
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.
