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Alan E. Lax

Ryefield Capital, LLC

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About Alan E. Lax

Alan E. Lax is a registered investment advisor representative with Ryefield Capital, LLC. Alan E. Lax has been in the financial industry for over 20 years and has worked with a variety of financial firms. Alan E. Lax is currently registered with the state of New York. Alan E. Lax has a strong track record of success and is committed to providing his clients with the best possible service.

Firm Information

Alan Lax is currently registered with Ryefield Capital, LLC. Ryefield Capital, LLC is an investment advisor registered with the SEC. They manage approximately $1.8 million in assets for 14 individual clients. Ryefield Capital provides portfolio management services for individuals.

$1.80M

Assets Under Management

Not reported

Total Clients

1

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Alan Lax’s Registration & Firm History

NY

04/01/2022 - Present

Ryefield Capital, LLC (GERMANTOWN NY)

NY

06/20/2011 - 03/23/2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREAT NECK NY)

NY

10/28/2009 - 07/15/2011

LAIDLAW & COMPANY (UK) LTD. (ROSLYN HEIGHTS NY)

NY

07/20/2004 - 11/04/2009

GUNNALLEN FINANCIAL, INC (ROSALYN HEIGHTS NY)

NY

04/28/2004 - 07/19/2004

S.W. BACH & COMPANY (PORT WASHINGTON NY)

NY

09/03/2002 - 04/28/2004

HARRISON SECURITIES, INC. (PORT WASHINGTON NY)

NY

07/13/2000 - 09/03/2002

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BOTH

Issued 07/26/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/20/2006

Series 4 - Registered Options Principal Examination

BC

Issued 07/29/2003

Series 24 - General Securities Principal Examination

BC

Issued 03/23/2015

SIE - Securities Industry Essentials Examination

BC

Issued 10/12/2006

Series 3 - National Commodity Futures Examination

BC

Issued 07/31/2000

Series 31 - Futures Managed Funds Examination

BC

Issued 07/12/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Alan E. Lax.
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