Devin Garofalo has been Member, President and Chief Compliance Officer of Colonial River Investments since October 2016, is a control person of the firm and directly owns 75% or more of it.
Colonial River Investments, LLC is a Midlothian, VA firm with $464M under management, 1,798 clients and 8 advisers across 8 offices, as of its March 2026 filing.
Devin Garofalo is Chief Executive Officer and Wealth Advisor of Colonial River Wealth Management. He has over 20 years of industry experience, starting in the insurance industry training brokers. He launched Colonial River with a focus on helping clients prepare for retirement, invest in their own businesses and move forward with other life decisions, and grew the firm to include an executive leadership board and office staff.
Devin Garofalo’s longest registration is the current one, 9 years at LPL Financial LLC since 2016. Before joining Colonial River Investments in 2016, Devin Garofalo was registered through Lincoln Financial Advisors Corporation and Stratos Wealth Partners, LTD.
- – present · 9 yearsAdviser representative · Firm CRD 284839
- LPL Financial LLCAlso current– present · 9 yearsWilliamsburg, VA · Adviser representative and broker · Firm CRD 6413
- Lincoln Financial Advisors Corporation– · 3 yearsNewport News, VA · Adviser representative · Firm CRD 3978
- Stratos Wealth Partners, LTD– · 1 yearGlen Allen, VA · Adviser representative · Firm CRD 153184
- LPL Financial LLC– · 1 yearGlen Allen, VA · Adviser representative · Firm CRD 6413
- Next Financial Group, Inc.– · under a yearGlen Allen, VA · Adviser representative · Firm CRD 46214
Professional designations
Listed by Colonial River Investments
- Accredited Investment Fiduciary (AIF®)
Investment adviser representative registrations
Devin Garofalo is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from October 2016; the most recent is Texas, in January 2019.
- TexasResidentSince 2 January 2019
- VirginiaSince 28 October 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 2 July 2018 |
| Series 65 | Uniform Investment Adviser Law Examination | 30 December 2009 |
| Series 7 | General Securities Representative Examination | 22 July 2008 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 January 2006 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 3 November 2004 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Devin J Garofalo
- CRD
- 4853435
- Firm
- Colonial River Investments · CRD 284839
- Role
- Member, President and Chief Compliance Officer
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 2004
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- colonialriver.com
Where does Devin Garofalo work?
Devin Garofalo has been Member, President and Chief Compliance Officer of Colonial River Investments, LLC since October 2016, and is a control person of the firm.
Is Devin Garofalo a financial advisor?
Yes. Devin Garofalo has a current investment-adviser registration in Texas and Virginia, through Colonial River Investments since October 2016.
How many years of experience does Devin Garofalo have?
Devin Garofalo has 21 years in the financial industry, since November 2004, across 5 adviser firms.
What exams has Devin Garofalo passed?
Devin Garofalo has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 65 and Series 24. The earliest, the Series 6, was passed in November 2004. FINRA credited Devin Garofalo with the SIE, which began in October 2018.
Where did Devin Garofalo work before Colonial River Investments?
Before Colonial River Investments, Devin Garofalo was registered through Stratos Wealth Partners, LTD, August 2011 to July 2013; LPL Financial LLC, June 2010 to August 2011; Next Financial Group, Inc., January 2010 to June 2010.
Is Devin Garofalo registered with FINRA?
Yes. Devin Garofalo has a current broker registration, under CRD 4853435.
Source: FINRA BrokerCheck
How can I verify Devin Garofalo’s record?
Search CRD 4853435 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Devin Garofalo’s full registration record.