Jay Spivak has been Managing Member/Chief Compliance Officer of Spivak Asset Management since May 1996, is a control person of the firm and directly owns 75% or more of it. Jay Spivak holds a Management & Technology Dual Degree from the University of Pennsylvania and a B.S. in Economics from The Wharton School.
Spivak Asset Management, LLC is an Avon, CT firm with $439M under management, 63 clients and 1 adviser in one office, as of its March 2026 filing.
Jay S. Spivak is Owner and Investment Adviser of Spivak Asset Management, LLC, a role listed from 1996 to the present. Spivak was previously Portfolio Manager at Ballentine Capital Management from 1992 to 1996 and Analyst / Trader at George Weiss Associates from 1989 to 1992.
- Spivak Asset Management, LLCCurrent– present · 30 yearsAvon, CT · Adviser representative · Firm CRD 125714
Investment adviser representative registrations
Jay Spivak is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from June 1996; the most recent is Florida, in October 2026.
- ConnecticutSince 25 June 1996
- FloridaSince 15 October 2026
- TexasResidentSince 7 March 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 28 May 1996 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Jay Stuart Spivak
- CRD
- 2763969
- Firm
- Spivak Asset Management · CRD 125714
- Role
- Managing Member/Chief Compliance Officer
- Office
- 172 West Main Street, Avon, CT 06001
- Registration
- Investment adviser registration
- In the industry since
- June 1996
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- jayspivak.com
Where does Jay Spivak work?
Jay Spivak has been Managing Member/Chief Compliance Officer of Spivak Asset Management, LLC since May 1996, and is a control person of the firm.
Is Jay Spivak a financial advisor?
Yes. Jay Spivak has a current investment-adviser registration in Connecticut, Florida and Texas, through Spivak Asset Management since June 1996.
How many years of experience does Jay Spivak have?
Jay Spivak has 30 years in the financial industry, since June 1996, across 1 adviser firm.
What exams has Jay Spivak passed?
Jay Spivak passed the Series 65 in May 1996.
Where is Jay Spivak based?
Jay Spivak’s registered office is in Avon, CT.
Is Jay Spivak registered with FINRA?
No. Jay Spivak has no current broker registration.
How can I verify Jay Spivak’s record?
Search CRD 2763969 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Jay Spivak’s full registration record.