Alexis V. Roberts

ALEXIS INVESTMENT PARTNERS

Montgomery, TX

Some features on this profile are disabled

CRD#: 7262063

Professional summary

Alexis Viroya Browne Roberts, who also goes by Alexis VIroy Brown, Alexis Viroya Browne, Alexis Viroy Browne Roberts, Alexis Viroy Brown Roberts, is a registered financial advisor currently at ALEXIS INVESTMENT PARTNERS, LLC located in Montgomery, Texas.

Alexis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Alexis has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alexis Viroy Brown | Alexis Viroya Browne | Alexis Viroy Browne Roberts | Alexis Viroy Brown Roberts

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.

Insurance Agent through Quantum, Scottsdale AZ, Duties: Insurance products sales and service for the lines of Life Insurance, Long-Term Care Insurance, and Annuities, Position: Insurance Agent, Nature: Insurance, Since: August 13, 2019, Compensation: commissions, Investment related = No, 15 hours per month, 5 hours per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexis Viroya Browne Roberts'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

May 19, 2021 - Present

ALEXIS INVESTMENT PARTNERS, LLC

RIA

CRD#: 313394

Montgomery, TX

Past

November 17, 2020 - June 29, 2021

SOWELL MANAGEMENT

RIA

CRD#: 127145

Montgomery, TX

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".

ALEXIS INVESTMENT PARTNERS, LLC

CRD#: 313394 / SEC#: 801-121162

RIA

Registered Investment Advisory firm - (5/7/2021 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

Texas
(5/19/2021)

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: 11/17/2020

Uniform Investment Adviser Law Examination

Current Firm

ALEXIS INVESTMENT PARTNERS, LLC

CRD#: 313394 / SEC#: 801-121162

RIA

Registered Investment Advisory firm - (5/7/2021 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

Montgomery, TX

Mailing Address

Phone number

(925) 457-5258

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AIP BROCHURE (4/3/2025)

Regulatory assets under management

Total Number of Accounts	247
AUM (Assets Under Management)	$ 181,584,556

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alexis V. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexis Viroya Browne Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALEXIS INVESTMENT PARTNERS, LLC

SOWELL MANAGEMENT

Primary Firm SEC Registration

ALEXIS INVESTMENT PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/2020

Current Firm

ALEXIS INVESTMENT PARTNERS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALEXIS INVESTMENT PARTNERS, LLC

TRUST BUT VERIFY

Similar Advisors