Chief Financial Officer and Chief Compliance Officer · Aligned Wealth Advisors, LLC
Nicholas M. Raffone
CRD 6211281 · Named on Form ADV at one SEC-registered adviser
At a glance
Aligned Wealth Advisors, LLC, an SEC-registered asset manager based in Miami, FL with $0 in regulatory assets, lists Nicholas M. Raffone on its Form ADV as Chief Financial Officer and Chief Compliance Officer, a control person.
Firms and roles
- Aligned Wealth Advisors, LLCChief Financial Officer and Chief Compliance OfficerAsset manager · Miami, FL · $0M in regulatory assets
AtlasMembers
Nicholas’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Patrick J. DwyerMember, Aligned Wealth Advisors, LLC
- Lawrence M. RaffoneExecutive Chairman, Aligned Wealth Advisors, LLC
- Gregory D. PoolChief Investment Officer, Aligned Wealth Advisors, LLC
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Nicholas’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.