Advisor at Caruso Family Financial Advisors (CFFA) LLC
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Firm
Caruso Family Financial Advisors (CFFA) LLC
Location
San Jose, CA 95160
Credentials
Series 66
Industry experience
13 years
Anthony Caruso is a financial advisor at Caruso Family Financial Advisors (CFFA) LLC in San Jose, CA, with 13 years of industry experience. He holds the Series 66 designation and has worked at firms including Lightpath Capital, Inc. and Whitehall-Parker Securities, Inc. since 2019. Caruso serves as CEO and Chief Compliance Officer of CFFA. Caruso Family Financial Advisors provides portfolio management and pension consulting services to individuals, pension plans, charitable organizations, and businesses. The firm manages approximately $15.4 million across 50 client accounts, employing a mix of fundamental, quantitative, technical, and modern portfolio theory analyses with discretionary management and monthly reviews.
Based on Caruso Family Financial Advisors (CFFA) LLC
Based on Caruso Family Financial Advisors (CFFA) LLC
Compensation received for sale of investment products including asset-based sales charges or service fees from mutual funds; commissions from broker-dealer activities.
Annual management fee of 2.00% of assets under management plus 20.00% performance fee on capital appreciation with an 8% annual hurdle rate and high water mark.
6525 Crown Blvd. # 20775
San Jose, CA 95160
California
Lightpath Capital, Inc.
2021 - Present (5 years)
Caruso Family Financial Advisors (CFFA) LLC
2019 - Present (7 years)
Whitehall-Parker Securities, Inc
2019 - 2020 (1 year)
Whitehall-Parker Securities, Inc
2019 - 2019 (1 year)
The Taylor Advisory Group
2017 - 2019 (2 years)
One Source Health & Wealth
2017 - 2017 (1 year)
Silicon Private Wealth, LLC
2016 - 2016 (1 year)
Purshe Kaplan Sterling Investments
2016 - 2016 (1 year)
Silicon Private Wealth- PKS
2016 - 2016 (1 year)
bank of America, N.A
2012 - 2016 (4 years)
Merrill Lynch, Pierce, Fenner and Smith Incorporated
2012 - 2016 (4 years)
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Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
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Bank
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Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
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