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Derek Spencer Wallis

33 CAPITAL MANAGEMENT LLC·GREENWICH, Connecticut
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71 ARCH STREET, GREENWICH, CT 06830-6544CRD# 4124246Firm CRD# 326780
01

About

Derek Spencer Wallis is a registered financial advisor based in GREENWICH, Connecticut, affiliated with 33 CAPITAL MANAGEMENT LLC. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Planning
Investment Management
Wealth Management
Financial Education
Client Types
Individuals
High Net Worth Individuals
03

Firm Overview

Firm
33 CAPITAL MANAGEMENT LLC
33 CAPITAL MANAGEMENT LLC
AUM
$103M
Regulatory assets under management
Employees
7
Total firm employees
View all advisors at 33 CAPITAL MANAGEMENT LLC →
Services
Financial planning
Portfolio management (individuals)
Selection of other advisers
Security ratings or pricing services
Educational seminars/workshops
04

Background

Compensation
Percentage of AUM
Hourly charges
Subscription fees
Performance-based fees
Other: A MIX OF THE ABOVE COMPENSATION ARRANGEMENTS.
Regulatory
SEC/IARD CRD# 4124246
Firm CRD# 326780
No disclosures on file
View on FINRA BrokerCheck →

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05

Frequently Asked Questions

What services does Derek Spencer Wallis offer?
Derek Spencer Wallis specializes in Financial Planning, Investment Management, Wealth Management, Financial Education. Contact their office in GREENWICH, Connecticut for a consultation.
What are Derek Spencer Wallis's credentials?
Derek Spencer Wallis is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Derek Spencer Wallis located?
Derek Spencer Wallis is based in GREENWICH, Connecticut, working with 33 CAPITAL MANAGEMENT LLC. Their office serves clients in the GREENWICH metropolitan area and surrounding communities.
How does Derek Spencer Wallis charge for services?
Derek Spencer Wallis's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees, other: a mix of the above compensation arrangements.. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is 33 CAPITAL MANAGEMENT LLC?
33 CAPITAL MANAGEMENT LLC has approximately 7 employees and manages $103M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Nearby cities in Connecticut
STAMFORD (1131)WESTPORT (338)HARTFORD (225)DARIEN (222)NORWALK (134)
City Guides
STAMFORD GuideWESTPORT GuideHARTFORD GuideDARIEN GuideNORWALK Guide
Research
Advisor Fees in ConnecticutNational Fee Analysis
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Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
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