Edgar J. Ortiz

EXOS ASSET MANAGEMENT LLC

NEW YORK, NY 10001

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CRD#: 7364975

Professional summary

Edgar Joseph Ortiz is a registered financial advisor currently at EXOS ASSET MANAGEMENT LLC located in New York, New York and EXOS SECURITIES LLC located in New York, New York.

Edgar is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Edgar has worked at 2 firms and has passed the Series 65, Series 7TO, Series 79TO and SIE exams.

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.

Exos Asset Management and Exos Securities, since 2021, investment-related, New York, NY, Registered Investment Adviser and Broker-Dealer, Analyst, approximately 80 hours per month at each entity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edgar Joseph Ortiz'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 12, 2024 - Present

EXOS ASSET MANAGEMENT LLC

Office #1: 35 W 35th Street Fifth Floor, New York, NY 10001

RIA

CRD#: 305706

NEW YORK, NY

Current

August 5, 2021 - Present

EXOS SECURITIES LLC

Office #1: 35 W 35th Street Fifth Floor, New York, NY 10001

CRD#: 298276

NEW YORK, NY

Past

March 7, 2023 - December 31, 2023

EXOS ASSET MANAGEMENT LLC

RIA

CRD#: 305706

NEW YORK, NY

Past

January 11, 2022 - December 31, 2022

EXOS ASSET MANAGEMENT LLC

RIA

CRD#: 305706

NEW YORK, NY

Past

December 7, 2021 - December 31, 2021

EXOS ASSET MANAGEMENT LLC

RIA

CRD#: 305706

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".

EXOS ASSET MANAGEMENT LLC

CRD#: 305706 / SEC#: 801-119726

RIA

Registered Investment Advisory firm - (11/2/2020 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

New York
(3/12/2024)

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: 12/7/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/18/2024

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 8/5/2021

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 12/11/2018

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

EXOS ASSET MANAGEMENT LLC

CRD#: 305706 / SEC#: 801-119726

RIA

Registered Investment Advisory firm - (11/2/2020 Approved)

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Contact information

Main Address

35 W 35th Street Fifth Floor, New York, NY 10001

Mailing Address

Phone number

(646) 814-0996

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EXOS ASSET MANAGEMENT LLC (2025) (2/27/2025)

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 99,530,296

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	10/1/2020

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.

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Firm Stability Insights

Edgar J. Ortiz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edgar Joseph Ortiz's CRS (Customer Relationship Summary).

Certified licenses

Experience

EXOS SECURITIES LLC

EXOS ASSET MANAGEMENT LLC

EXOS ASSET MANAGEMENT LLC

EXOS ASSET MANAGEMENT LLC

Primary Firm SEC Registration

EXOS ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/7/2021

Series 7TO

Date: 4/18/2024

Series 79TO

Date: 8/5/2021

SIE

Date: 12/11/2018

FINRA

Current Firm

EXOS ASSET MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

EXOS ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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