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AG

Alan Graff

OPAL CAPITAL LLC
WAUKEE, IA
Some features on this profile are disabled
CRD#: 7078067
AG

Professional summary

Alan Graff Jr., who also goes by Aj Graff Jr., is a registered financial advisor currently at OPAL CAPITAL LLC located in Waukee, Iowa.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Alan has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Aj Graff Jr.

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 Alan Graff Jr.'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

March 17, 2023 - Present

OPAL CAPITAL LLC

RIA
CRD#: 322755
WAUKEE, IA
Past

March 17, 2023 - January 2, 2025

TITLEIST ASSET MANAGEMENT, LLC

RIA
CRD#: 323567
WAUKEE, IA
Past

November 18, 2021 - March 17, 2023

TITLEIST CAPITAL, LLC

RIA
CRD#: 126136
Waukee, IA
Past

March 12, 2019 - November 17, 2021

TITLEIST CAPITAL, LLC

RIA
CRD#: 126136
Waukee, IA

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".
OC
OPAL CAPITAL LLC
OPAL CAPITAL LLC

CRD#: 322755 / SEC#: 801-126398

RIA
Registered Investment Advisory firm - (8/23/2022 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
Iowa
(3/17/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/12/2019
Uniform Investment Adviser Law Examination

Current Firm

OC
OPAL CAPITAL LLC
OPAL CAPITAL LLC

CRD#: 322755 / SEC#: 801-126398

RIA
Registered Investment Advisory firm - (8/23/2022 Approved)
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Contact information

Main Address
5200 Town Center Circle Suite 305, Boca Raton, FL 33486
Mailing Address
Phone number
(917) 716-6257
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OPAL CAPITAL LLC ADV PART 2A (5/29/2025)

Regulatory assets under management

Total Number of Accounts3
AUM (Assets Under Management)$ 135,027,899

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.

Company Information

OPAL CAPITAL LLC

CRD#: 322755Waukee, IA

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