Rogerio De Carvalho Junior

ASTON CAPITAL MANAGEMENT

Coral Gables, FL 33134

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CRD#: 7804731

Professional summary

Rogerio De Carvalho Junior, who also goes by Rogerio Carvalho, is a registered financial advisor currently at ASTON CAPITAL MANAGEMENT located in Coral Gables, Florida.

Rogerio is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Rogerio has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rogerio Carvalho

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 Rogerio De Carvalho Junior'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 21, 2023 - Present

ASTON CAPITAL MANAGEMENT

Office #1: 355 Alhambra Circle, Suite 1350, Coral Gables, FL 33134

RIA

CRD#: 291310

Coral Gables, FL

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".

ASTON CAPITAL MANAGEMENT

CRD#: 291310 / SEC#: 801-112788

RIA

Registered Investment Advisory firm - (4/9/2018 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

Florida
(11/21/2023)

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: 7/28/2023

Uniform Investment Adviser Law Examination

Current Firm

ASTON CAPITAL MANAGEMENT

CRD#: 291310 / SEC#: 801-112788

RIA

Registered Investment Advisory firm - (4/9/2018 Approved)

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Contact information

Main Address

355 Alhambra Circle, Suite 1350, Coral Gables, FL 33134

Mailing Address

Phone number

(305) 722-5989

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

ASTON CAPITAL ADV PART (2) BROCHURE - 2025 (4/8/2025)

Regulatory assets under management

Total Number of Accounts	25
AUM (Assets Under Management)	$ 553,848,145

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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Rogerio De Carvalho Junior

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rogerio De Carvalho Junior's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASTON CAPITAL MANAGEMENT

Primary Firm SEC Registration

ASTON CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 7/28/2023

Current Firm

ASTON CAPITAL MANAGEMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASTON CAPITAL MANAGEMENT

TRUST BUT VERIFY

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