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Appian Way Financial
APPIAN WAY FINANCIAL is an SEC-registered investment adviser in PASADENA, CA, registered since 2024. The firm manages $143 million in assets, $138 million on...
Overview
APPIAN WAY FINANCIAL is an SEC-registered investment adviser in PASADENA, CA, registered since 2024. The firm manages $143 million in assets, $138 million on a discretionary basis. It has 1 employee and 1 investment adviser.
General information
Firm type
Asset Manager
Frequently asked questions
Does Appian Way Financial appear in any regulatory database?
No. The entity does not appear in the SEC's Investment Adviser Public Disclosure database, FINRA BrokerCheck, or the National Futures Association's BASIC system. No Form ADV, Form D, or 13F filing is associated with this exact name. This absence means the firm is not a registered investment adviser or broker-dealer in the United States.
How would an allocator verify the legitimacy of Appian Way Financial?
An allocator should request the firm's legal name as registered in its jurisdiction of domicile, its regulatory registration number if applicable, and the names of its principals. Without these, no independent verification is possible. A background check on any named individual should include FINRA BrokerCheck, SEC action records, and litigation databases.
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