Wayne Seth Kaufman

Current Employers

Weathervane Asset Management Llc

1 East Broward Blvd. Suite 700, Fort Lauderdale, FL 33301 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APP_PEND_IARCE	2026-01-01
NJ	RA	APP_PEND_IARCE	2026-01-01
VA	RA	APPROVED	2023-06-05
NH	RA	APPROVED	2022-01-19
NY	RA	APPROVED	2022-01-19
TX	RA	APPROVED	2022-01-19

FL RA
APP_PEND_IARCE

Since 2026-01-01
NJ RA
APP_PEND_IARCE

Since 2026-01-01
VA RA
APPROVED

Since 2023-06-05
NH RA
APPROVED

Since 2022-01-19
NY RA
APPROVED

Since 2022-01-19
TX RA
APPROVED

Since 2022-01-19

Branch Locations

100 Wall Street 10Th Floor, New York City, NY 10005 • 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

Organization	City	State	From	To
Phx Financial, Inc	New York	NY	08/2014	Present
Weathervane Asset Management Llc	Boca Raton	FL	01/2022	Present

08/2014 → Present

Phx Financial, Inc

New York, NY
01/2022 → Present

Weathervane Asset Management Llc

Boca Raton, FL

Other Businesses

WEATHERVANE ASSET MANAGEMENT LLC - 2255 GLADES ROAD, BOCA RATON, FL 33431 - REGISTERED INVESTMENT ADVISOR - 30 MARKET HOURS PER WEEK AND 3.5 NON MARKET HOURS PER DAY - INVESTMENT RELATED - AFFILIATED WITH PHX FINANCIAL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-01-24
S63	Uniform Securities Agent State Law Examination	1994-06-14

S65 Uniform Investment Adviser Law Examination

2020-01-24
S63 Uniform Securities Agent State Law Examination

1994-06-14