Michael E. Farrell

U.S. CAPITAL WEALTH ADVISORS

New York, NY 10175

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CRD#: 7195826

Professional summary

Michael E Farrell is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in New York, New York and PITON INVESTMENT MANAGEMENT, LP located in New York, New York.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Michael has worked at 2 firms .

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.

1. Mike serves as Vice President of Farr Education which is not investment-related at P. O. Box 29, Summit, New Jersey 07902. It provides assistance to Charter Schools. Mike's duties include due diligence, financial modeling and performance reporting, and he spends about 40-50 hours per month doing this. 2. Piton Investment Management Lp; Investment -related; Garden City, NY; fixed income asset managers; IAR; Vice President; 09/2022; 4hrs/month; 2hrs/month; executing trades within the Managed Equity sleeve

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael E Farrell'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

November 18, 2019 - Present

U.S. CAPITAL WEALTH ADVISORS, LLC

Office #1: 521 Fifth Avenue 15th Floor, New York, NY 10175

RIA

CRD#: 288199

New York, NY

Current

September 29, 2022 - Present

PITON INVESTMENT MANAGEMENT, LP

Office #1: 150 East 52nd Suite 5001, New York, NY 10022

RIA

CRD#: 282517

New York, NY

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".

U.S. CAPITAL WEALTH ADVISORS, LLC

LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC

CRD#: 288199 / SEC#: 801-110515

RIA

Registered Investment Advisory firm - (5/3/2017 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

New York
(9/29/2022)

IAR

Texas
(11/18/2019)

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

Current Firm

U.S. CAPITAL WEALTH ADVISORS, LLC

LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC

CRD#: 288199 / SEC#: 801-110515

RIA

Registered Investment Advisory firm - (5/3/2017 Approved)

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Contact information

Main Address

4444 Westheimer Rd. Suite G500, Houston, TX 77027

Mailing Address

Phone number

(713) 366-0500

Established

Firm type

Fiscal year end

# of Employees

133

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

USCWA ADV PART 2A MARCH 28, 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	10,833
AUM (Assets Under Management)	$ 7,282,480,817

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
01/23/2024	Cover Page	Report
03/24/2023	Cover Page	Report

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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Michael E. Farrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael E Farrell's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. CAPITAL WEALTH ADVISORS, LLC

PITON INVESTMENT MANAGEMENT, LP

Primary Firm SEC Registration

U.S. CAPITAL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Current Firm

U.S. CAPITAL WEALTH ADVISORS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

U.S. CAPITAL WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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