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155 Seaport Blvd 3Rd Floor, Boston, MA 02210 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2026-02-02 |
Branch Locations
155 Seaport Blvd 3Rd Floor, Boston, MA 02210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rovin Capital | Lehi | UT | 08/2008 | 02/2026 |
| First Allied Securities, Inc. | San Diego | CA | 11/2009 | 09/2017 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 07/2012 | 09/2017 |
| Cw Advisors, Llc | Lehi | UT | 02/2026 | Present |
1) Six Peak Capital Management, LLC; Investment-related; 3051 N Bar H Rd Lehi Utah 84043; Management company for Special Purpose Vehicle entities, including debt investment to a company named Fetch; Member; 3/10/2025; 4 Hours per month; 4 during trading hours; 4 Percent of total yearly compensation expected to be derived from the business; Sit on the investment committee and discuss investment opportunities, current fund companies, and other management issues with the fund 2) Rovin Capital Investment Committee; Investment-related; Lehi Utah 84043; Investment Committee; Committee Member; 1/1/2021; 4 hours per month; 0 during trading hours; participate in periodic meetings and review investment opportunities
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-12-02 |
| S66 | Uniform Combined State Law Examination | 2010-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 2009-03-02 |
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