Gregory S. Sabo

TONE CAPITAL

Richmond, VA 23230

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CRD#: 2003709

Professional summary

Gregory Stephen Sabo, who also goes by Greg Sabo, Gregory Sabo, is a registered financial advisor currently at TONE CAPITAL, LLC located in Richmond, Virginia.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Gregory has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Greg Sabo | Gregory Sabo

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.

Mr. Sabo is employed by the University of Richmond as an Adjunct Professor - Technical Analysis. Mr. Sabo estimates he spends 20 hours per month on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Stephen Sabo'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

November 29, 2016 - Present

TONE CAPITAL, LLC

Office #1: 4120 W. Broad Street, Richmond, VA 23230

RIA

CRD#: 285622

Richmond, VA

Past

January 2, 2013 - October 14, 2016

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

October 17, 2002 - January 2, 2013

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

October 1, 1999 - September 20, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

December 14, 1994 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

June 27, 1994 - October 25, 1994

CARTER KAPLAN & COMPANY

CRD#: 14545

Past

December 20, 1991 - January 5, 1994

HARTFIELD, TITUS & DONNELLY, LLC

CRD#: 7117

JERSEY CITY, NJ

Past

November 24, 1989 - September 3, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

TONE CAPITAL, LLC

CIRCLE ADVISERS GROUP, LLC | WEALTHCRAFT, LLC | TONE CAPITAL, LLC

CRD#: 285622 / SEC#: 801-132702

RIA

Registered Investment Advisory firm - (5/12/2025 Approved)

Virginia

Registered Investment Advisory firm - (6/11/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Virginia
(11/29/2016)

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

IAR

Series 65

Date: 10/21/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/14/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/16/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 12/26/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/18/1989

General Securities Representative Examination

Current Firm

TONE CAPITAL, LLC

CIRCLE ADVISERS GROUP, LLC | WEALTHCRAFT, LLC | TONE CAPITAL, LLC

CRD#: 285622 / SEC#: 801-132702

RIA

Registered Investment Advisory firm - (5/12/2025 Approved)

Virginia

Registered Investment Advisory firm - (6/11/2025 Terminated)

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Contact information

Main Address

4120 W. Broad Street, Richmond, VA 23230

Mailing Address

Phone number

(804) 447-1404

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	299
AUM (Assets Under Management)	$ 103,231,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/10/2025	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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Advisor Monitoring

Firm Stability Insights

Gregory S. Sabo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Stephen Sabo's CRS (Customer Relationship Summary).

Certified licenses

Experience

BB&T SECURITIES, LLC

SCOTT & STRINGFELLOW, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

CARTER KAPLAN & COMPANY

HARTFIELD, TITUS & DONNELLY, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TONE CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/21/2016

Series 63

Date: 11/30/1989

SIE

Date: 10/14/2016

Series 55

Date: 3/16/2000

Series 3

Date: 12/26/1989

Series 7

Date: 11/18/1989

Current Firm

TONE CAPITAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TONE CAPITAL, LLC

TRUST BUT VERIFY

Contact information

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