Gary A. Pulford

RITHOLTZ WEALTH MANAGEMENT

Newport Beach, CA 92660

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CRD#: 1114755

Professional summary

Gary Alan Pulford is a registered financial advisor currently at RITHOLTZ WEALTH MANAGEMENT located in Newport Beach, California.

Gary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Gary has worked at 5 firms and has passed the Series 63, Series 3, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Alan Pulford's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 4, 2017 - Present

RITHOLTZ WEALTH MANAGEMENT

Office #1: 610 Newport Center Drive Suite 280, Newport Beach, CA 92660

RIA

CRD#: 168652

Newport Beach, CA

Past

November 16, 2005 - December 11, 2017

PRIVATE ASSET MANAGEMENT INC

RIA

CRD#: 106598

SAN DIEGO, CA

Past

July 8, 1997 - November 15, 2005

GAMBLE JONES INVESTMENT COUNSEL

RIA

CRD#: 107158

PASADENA, CA

Past

October 1, 1986 - October 3, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

April 19, 1983 - October 14, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RITHOLTZ WEALTH MANAGEMENT

COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA

Registered Investment Advisory firm - (9/16/2013 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/4/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/29/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/30/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 5/19/1983

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

Current Firm

RITHOLTZ WEALTH MANAGEMENT

COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA

Registered Investment Advisory firm - (9/16/2013 Approved)

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Contact information

Main Address

24 West 40th Street 15th Floor, New York, NY 10018

Mailing Address

Phone number

(212) 625-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (7/2/2025)

Regulatory assets under management

Total Number of Accounts	11,801
AUM (Assets Under Management)	$ 6,459,181,176

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/28/2025	Cover Page	Report
04/10/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Gary A. Pulford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Alan Pulford's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE ASSET MANAGEMENT INC

GAMBLE JONES INVESTMENT COUNSEL

KIDDER, PEABODY & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

RITHOLTZ WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/1983

Series 3

Date: 11/30/1987

Series 5

Date: 5/19/1983

Series 7

Date: 4/16/1983

Current Firm

RITHOLTZ WEALTH MANAGEMENT

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RITHOLTZ WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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