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Michael Charles Shotton

Steelpeak Wealth, LLC

Los Angeles, CA

CRD 4997817

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Employer firm

Steelpeak Wealth, LLC CRD 165168

$4.15B regulatory AUM 5 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • Selection of other advisers

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

Current Employers
Steelpeak Wealth, Llc

1880 Century Park East Suite 1017, Los Angeles, CA 90067 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-06-13
  • CA RA
    APPROVED
    Since 2023-06-13

Branch Locations

1880 Century Park East Suite 1017, Los Angeles, CA 90067 • 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
Cantor Fitzgerald & Co. New York NY 01/2016 05/2023
Steel Peak Wealth Management, Llc Woodland Hills CA 05/2023 Present
  • 01/2016 → 05/2023
    Cantor Fitzgerald & Co.
    New York, NY
  • 05/2023 → Present
    Steel Peak Wealth Management, Llc
    Woodland Hills, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-07-22
S66 Uniform Combined State Law Examination 2006-11-07
  • S65 Uniform Investment Adviser Law Examination
    2022-07-22
  • S66 Uniform Combined State Law Examination
    2006-11-07
Other Names
  • Mike Shotton

View on SEC IAPD

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