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171 Madison Avenue Suite 1500, New York, NY 10016 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APP_PEND_IARCE | 2026-01-01 |
Branch Locations
171 Madison Avenue Suite 1500, New York, NY 10016 • United States
Newport Coast, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank National Trust Company | San Francisco | CA | 02/2019 | 11/2022 |
| Us Trust | Newport Beach | CA | 09/2013 | 02/2019 |
| California Hedge Fund Association | San Francisco | CA | 06/2010 | 09/2017 |
| Deutsche Bank Securities Inc. | San Francisco | CA | 04/2019 | 11/2022 |
| Pave Securities, Llc | New York | NY | 12/2022 | Present |
| Pave Investment Advisors, Llc | New York | NY | 11/2022 | Present |
| Pave Finance, Inc. | New York | NY | 11/2022 | Present |
1 - NOB: Children's Hospital of Orange County. TITLE: Director. Start Date: 2020. Not-Investment Related. DUTIES: Sit on the foundations board of directors. Approx 4 hrs per month. 2 - NOB: Pave Finance, Inc. TITLE: Chairman & CEO. Start Date: November 2022. Not-Investment Related. DUTIES: Oversee all business activities of the firm. Approx. 40 hrs per month. 3 - NOB: Pave Investment Advisors, LLC. TITLE: CCO. Start Date: November 2022. Investment Related. DUTIES: Lead Compliance for the Investment Advisor. Approx. 10 hrs per month. 4 - NOB: Systematic Alpha Investments, LLC. TITLE: CCO. Start Date: January 2023. Investment Related. DUITES: Act as Chief Compliance Officer of the organization. Approx. 20 hrs per month.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-06-14 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-23 |
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