Rafia Hasan
Chief Investment Officer and Chief Operating Officer at Perigon Wealth Management
Investment adviser representative in Oak Park, IL
From the SEC’s public record of this individual, checked on 17 September 2026.
Rafia Hasan is the chief investment officer of Perigon Wealth Management, LLC, a San Francisco-based SEC-registered investment adviser managing $11.29B. Rafia has been registered through the firm since 18 July 2023, with 12 years in the industry across 4 firms, holds adviser registrations in Illinois.
Counts are from the SEC record as checked on 17 September 2026. Years are measured to that date.
Role at Perigon Wealth Management#
- Title on Schedule A
- Chief Investment Officer
- Title the firm uses
- Chief Investment Officer and Chief Operating Officer
- Control
- Reported as a control person of the adviser on Schedule A.
- Ownership
- Schedule A reports no direct ownership interest of 5% or more.
- Tenure
- Reported as an officer of the adviser since July 2023.
The firm
Perigon Wealth Management, LLC$11.29B regulatory AUM · 92 advisory staff · 95 officesFirm profileTitle and ownership as reported on Schedules A and B of the firm's Form ADV. Ownership percentages are the SEC's reporting bands, not exact figures. View Schedule A in the filing
Career on record#
- Perigon Wealth Management, LLC18 July 2023 to presentOak Park, IL · 3 years · adviser representative only · firm CRD 131037
- Wipfli Financial Advisors, LLC5 December 2014 to 4 October 2022Chicago, IL · 8 years · adviser representative only · firm CRD 109983
- Cogent Advisor LLC25 March 2014 to 5 September 2014Chicago, IL · under a year · adviser representative only · firm CRD 152715
- Dimensional Fund Advisors LP6 October 2011 to 18 July 2012Austin, TX · 1 year · adviser representative only · firm CRD 106482
Investment-adviser employment history in the IAPD record, newest first. The experience figure uses IAPD's calculation date of 22 June 2014, which may differ from the earliest registration below. View the IAPD record
Registrations and exams#
| State | Scope | Status | Since |
|---|---|---|---|
| Illinois | Investment adviser representative | Approved | 18 July 2023 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 30 September 2011 |
| Series 7 | General Securities Representative Examination | 7 December 2010 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
State adviser registrations currently approved, and the qualifying examinations on record. View the IAPD record
Regulatory record#
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one.
Where to check this individual's complete record, including any disciplinary history. View the IAPD record
Background#
The team page states that Rafia Hasan is Chief Investment Officer and Chief Operating Officer of Perigon Wealth Management, provides leadership across investments, financial planning, operations and technology, chairs the firm’s investment committee and leads its investment and trading team. It says she was previously Chief Investment Officer of Wipfli Financial Advisors, advised RIA firms on portfolio construction and asset allocation at Dimensional Fund Advisors, and held investment roles at Citibank in its Emerging Markets Corporate Bank and at Credit Suisse in its Alternative Investments Division. Perigon Wealth Management, team page
Education
- Bachelor’s degree in economics and math, Wellesley CollegePerigon Wealth Management, team page
- MBA, McCombs School of Business, University of Texas at AustinPerigon Wealth Management, team page
Credentials and memberships
- Chartered Financial Analyst (CFA)Perigon Wealth Management, team page
- Certified Financial Planner (CFP)Perigon Wealth Management, team page
Background statements are attributed to the named source. Firm biographies are not regulatory records.
Common questions#
Is Rafia Hasan a broker or an investment adviser?
An investment adviser representative only. Her record shows adviser-only registration through each of her four firms and no current FINRA broker registration, although it shows the Series 7 passed in December 2010.
Where is Rafia Hasan registered?
As an investment adviser representative in Illinois since 18 July 2023. It is the only state registration on the record, and it is not marked resident.
Does Rafia Hasan own part of Perigon?
Not directly. Schedule A of Perigon’s Form ADV lists her as Chief Investment Officer and a control person with no direct ownership interest of 5% or more, with the title dated to July 2023. The SEC reports ownership in bands, not exact percentages.
Source: Form ADV Part 1A, Schedule A
Where did Rafia Hasan work before Perigon?
Her SEC record shows registration through Dimensional Fund Advisors in Austin from October 2011 to July 2012, Cogent Advisor in Chicago from March 2014 to September 2014, and Wipfli Financial Advisors in Chicago from December 2014 to October 2022. Perigon’s team page also credits her with roles at Citibank and Credit Suisse, which are not on the SEC registration record.
Source: IAPD individual record, Employment History; Perigon team page
Answered from the records above.
Leadership at Perigon Wealth Management#
Philip HartFounder and PartnerCRD 1231843
Arthur AmbarikChief Executive Officer and PartnerCRD 4447307
Jeremy PaulPresident and PartnerCRD 2941072
Lindsay SturmakPartnerCRD 2875124- Jonathan HoyChief Operating OfficerCRD 7584467
- David ScarpelloChief Financial OfficerCRD 4825346
- Jonathan RobbinsChief Compliance OfficerCRD 4713929
The other officers and owners named on the firm's Schedule A.
Sources
- IAPD individual record, CRD 4671801. Employment history, registrations and examinations.
- Form ADV Part 1A, Schedules A and B of Perigon Wealth Management, LLC, filed 12 June 2026. Title, control and ownership bands.
- Perigon Wealth Management team page. Biography, education, credentials, awards and portrait.
Retrieved 17 September 2026. The SEC record may have been amended since.
Report a correctionThis profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Simple Money is not affiliated with Rafia Hasan or Perigon Wealth Management, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.
Simple Money Advisors LLC is a California-registered investment adviser. This page is not investment, tax, or legal advice and is not an offer of advisory services. Verify this individual's current record at adviserinfo.sec.gov and the firm's at its IAPD record before engaging an adviser. The portrait is reproduced from the firm’s website for identification.