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John Edward Rothe

Artais Capital Management, LLC

Lewes, DE

CRD 2935003

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Employer firm

Artais Capital Management, LLC CRD 148331

$14.8M regulatory AUM 12 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers
Artais Capital Management, Llc

Lewes, DE • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2022-02-22
DE RA APPROVED 2022-02-21
VA RA APPROVED 2008-10-27
  • MD RA
    APPROVED
    Since 2022-02-22
  • DE RA
    APPROVED
    Since 2022-02-21
  • VA RA
    APPROVED
    Since 2008-10-27

Branch Locations

Lewes, DE • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Artais Capital Management, Llc Lewes DE 06/2006 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-21
S63 Uniform Securities Agent State Law Examination 1998-03-23
  • S65 Uniform Investment Adviser Law Examination
    1998-07-21
  • S63 Uniform Securities Agent State Law Examination
    1998-03-23
Other Names
  • John Edward Rothe

View on SEC IAPD

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