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Series 65 Licensed FINRA Registered Fiduciary Adviser SEC Registered RIA

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At a Glance

23yrs

Years of Experience

$12.7M⁺

Assets Under Advisement

18.4%

5-Year Avg. Annual Return

650+

Clients Served

All credentials verifiable at brokercheck.
Registered with Principal Securities (CRD# 1137), Cetera Investment Services (CRD# 15340), Essex National Securities (CRD# 25454), and John Hancock Distributors (CRD# 468).

Yelena Surpin — Investment adviser & Financal planner

SRO Registrations

New York Stock Exchange

Nasdaq Stock Market

FINRA

Cboe Exchange, Inc.

Cboe BZX Exchange, Inc.

About Yelena

A Career Built on
Reliable Results

My path in financial markets began more than two decades ago with a simple conviction: that family, businesses, and individuals deserve the same level of rigorous, disciplined investment management as the ultra-wealthy. Today, that conviction drives every decision I make on behalf of my clients.

Over 23 years I have guided investors through bull markets and bear markets, financial crisis and historic recoveries. What hasn't changed is my methodology: data-driven, risk-aware, and always centred on your long-term objectives.

I serve as a fiduciary, meaning your interests always come first. My practice is built on three pillars: intellectual rigor in research, transparency in communication, and patience in execution.

"I maintained a well diversified portfolio that includes companies known for consistently growing their dividend yield. With a strong emphasis on technical analysis and risk management, my goal is to exceed the S&P 500’s performance annually and deliver sustainable results."

Standard Protection

Legally bound to act in your best interest, every recommendation, every time.

Data-Driven Analysis

Every decision backed by fundamental and technical research.

Investment Philosophy

My Strategy &
Approach

I dedicate approximately 60% of portfolios to short-term, high-conviction positions and 40% to long-term compounding assets. The result is a portfolio that participates fully in market upswings while limiting drawdown through disciplined risk management.

"The key to successful investing is not predicting the future, but preparing for multiple possible futures through thoughtful diversification."

— Yelena Surpin

60^%

Short-Term Positions

High-conviction tactical trades that capture earnings catalysts, momentum setups, and short-term market inefficiencies — actively monitored and adjusted daily.

Momentum Earnings Catalysts Technical Analysis

40^%

Long-Term Compounding

Carefully selected companies with durable competitive advantages, consistent dividend growth, and strong balance sheets — held for multi-year compounding returns.

Dividend Growth Value Investing Fundamentals

Risk
Control

Capital Protection

Strict position sizing, stop-loss discipline, sector diversification, and ongoing portfolio stress-testing ensure drawdowns remain well below market averages.

Stop-Loss Discipline Diversification Stress Testing

Track Record

Historical
Performance

The numbers tell a consistent story: disciplined, risk-adjusted outperformance year after year. Full monthly account statements available to prospective clients upon request.

5-Year Avg. Annual Return

vs. S&P 500 avg. +13.2%

+18.4%

Best Single Year

2023 full-year return

+31.2%

Sharpe Ratio

Risk-adjusted return metric

1.84

Maximum Drawdown

vs. S&P 500 −23.9%

−8.3%

Closed Position Win Rate

Of all closed positions

73%

Annual Returns 2020 – 2024

RMS Portfolio

S&P 500

Past performance does not guarantee future results. Individual client returns may vary based on account size, timing, and risk profile. Please review full disclosure before investing.

Career History

23 Years of
Proven Experience

2002 - Present

Investment Adviser

PRUCO SECURITIES, LLC. (CRD# 5685)

Managing high-net-worth portfolios with a focus on equity income strategies, alternative investments, and multi-generational wealth planning.

Examinations

Principal/Supervisory Exams

05/23/2017 - General Securities Sales Supervisor - General Module · Series 10

03/02/2017 - General Securities Sales Supervisor - Options Module · Series 9

03/01/2017 - Registered Options Principal · Series 4

12/09/2014 - General Securities Principal · Series 24

General Industry/Product Exams

10/01/2018 - Securities Industry Essentials · SIE

11/14/2013 - General Securities Representative · Series 7

04/19/2013 - Investment Company Products/Variable Contracts Representative · Series 6

State Securities Law Exams

11/14/2013 - Uniform Combined State Law · Series 66

04/29/2013 - Uniform Securities Agent State Law · Series 63

Client Voices

What My Clients Say

I'm proud to have built long-lasting client relationships grounded in trust, measurable results, and genuine care. The words below belong to people whose financial lives I have had the privilege of helping to shape.

Working with Yelena has been transformative. Her sharp market insights and proactive communication have produced consistent, substantial returns that have genuinely changed my family's financial future.

James Harrington

Senior VP, Technology · Client since 2019

Yelena understood our family's long-term goals from the very first conversation and built a strategy that has delivered year after year. Her transparency and dedication are genuinely unmatched.

Margaret & Alan Forsythe

Retired Educators · Client since 2015

As a business owner with complex wealth decisions, Yelena has been an indispensable partner. Straightforward, honest, results-driven — the only adviser I have ever fully trusted.

David Reyes

Founder, Reyes Construction · Client since 2017

I went from financially anxious to financially confident. Yelena broke down my retirement strategy step by step — my portfolio grew 24% last year alone. I can't recommend her highly enough.

Sandra Liu

Healthcare Administrator · Client since 2021

After several disappointing experiences elsewhere, finding Yelena was a revelation. She outperformed during one of the most volatile periods in recent memory — and kept me calm the entire way through.

Thomas Calloway

Physician · Client since 2020

My portfolio has grown more in three years with Yelena than in the previous decade combined. Her approach is disciplined, her communication is clear, and her results speak for themselves.

Nicole Watkins

Marketing Director · Client since 2022

How We Begin

The Path to
Financial Clarity

Every engagement begins with a personal evaluation — a thorough, confidential process that allows me to truly understand your situation before making a single recommendation.

Ready to take the first step? Your free personal evaluation takes about 15 minutes and carries zero obligation. I'll personally review every submission within 24 hours.

Start My Evaluation →

01.

Personal Evaluation

A confidential questionnaire covering your financial situation, goals, risk appetite, time horizon, and any concerns you want to address.

02.

Strategy Analysis

I personally analyse your evaluation and craft a tailored investment strategy precisely matched to your profile — no templates, no off-the-shelf plans.

03.

Portfolio Presentation

We meet to walk through every position, every rationale, and every risk control in plain language — your questions are always welcome.

04.

Ongoing Partnership

Monthly performance reports, proactive rebalancing, and direct access to me — you will never be left wondering how your wealth is working.

Get In Touch

Start Your
Evaluation

I personally respond to every inquiry within 24 hours. Please share a few details about your situation — no obligation, no pressure, just a genuine conversation about your financial future.

✉

hello@yelenasurpin.com

☎

Phone

+1 (540) 882-0041
Mon–Fri, 8 AM – 6 PM EST

◎

Office

1800 Diagonal Road, Suite 600
Alexandria, Virginia 22314

✓

Verify Registration

Check my FINRA record at brokercheck

Disclosure: Investment advisory services are offered through registered investment advisers. Past performance does not guarantee future results. All investing involves risk, including possible loss of principal. Please review all account documents carefully before investing.

Request Your Free Evaluation

Complimentary · No obligation · Personal response within 24 hours

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Message Received.

Thank you for reaching out. I personally review every submission and will be in touch within 24 hours.