GK
Gary C. Klopfenstein
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CRD#: 1276826
GK
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gary Carlton Klopfenstein was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1984. Gary had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
Innovyz USA Chicago Illinois Director and Chief Executive Officer October 2020 to present Not investment-related. It is involved in the commercialization of technology in advanced material and manufacturing - 20 hours per month. Duties are managing the scientific and operations teams. Snap Group LP Nelson, New Zealand Director December 2020 to present Not investment-related The business is technology-focused specifically on hardware and software related to agriculture and aquaculture Duties are as a member of the Board of Directors Snap Information Technologies Nelson, New Zealand Director December 2018 to present Not investment-related The business is technology-focused specifically with marine video cameras and AI software applications Duties are as a member of the Board of Directors Teem Fish Prince Rupert, Canada Director August 2021 to present Not investment-related The business is technology-focused specifically in electronic monitoring of global fisheries Duties are as a member of the Board of Directors Novus Sentry Chicago, Illinois Director September 2021 to present Not investment-related The business is technology-focused specifically on battery testing and monitoring Duties are as a member of the Board of Directors Valorem Investments Chicago, Illinois Director January 2018 to present Investment-related The business is a Commodity Trading Advisor, registered with the National Futures Association Duties are as a member of the Board of Directors and as a strategic advisor GK Investment Management Chicago Illinois Director and Chief Executive Officer April 2014 to present GK Investment Management does not provide investment-related services for outside entities, but invests on its own behalf) The company provides consulting on business growth and risk mitigation.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 24, 2022 - February 6, 2025
DIPSEA CAPITAL, LLC
RIA
CRD#: 257787
MILL VALLEY, CA
Past
August 1, 2011 - August 27, 2014
MESIROW FINANCIAL ALTERNATIVE INVESTMENTS, LLC
RIA
CRD#: 158314
CHICAGO, IL
Past
May 9, 2011 - August 27, 2014
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
CHICAGO, IL
Past
June 4, 2004 - August 27, 2014
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 111135
CHICAGO, IL
Past
January 26, 2004 - June 17, 2004
GK INVESTMENT MANAGEMENT
RIA
CRD#: 121156
CHICAGO, IL
Past
June 20, 1984 - January 16, 1992
NORWOOD SECURITIES
BD
CRD#: 7523
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".
DC
DIPSEA CAPITAL, LLC
DIPSEA CAPITAL, LLC
CRD#: 257787 / SEC#: 801-128488
RIA
Registered Investment Advisory firm - (8/1/2023 Approved)California
Registered Investment Advisory firm - (9/15/2023 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
DC
DIPSEA CAPITAL, LLC
DIPSEA CAPITAL, LLC
CRD#: 257787 / SEC#: 801-128488
RIA
Registered Investment Advisory firm - (8/1/2023 Approved)California
Registered Investment Advisory firm - (9/15/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
591 Redwood Highway Suite 3280, Mill Valley, CA 94941
Mailing Address
Phone number
(415) 925-9022
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 103,005,793 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Withdrawn | 3/6/2019 |
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.
