William A. Paine

GENCAP PORTFOLIO MANAGEMENT

Tiburon, CA 94920

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CRD#: 2218036

Professional summary

William A Paine, who also goes by Bill Paine, William Abbott Paine, is a registered financial advisor currently at GENCAP PORTFOLIO MANAGEMENT located in Tiburon, California.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. William has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Paine | William Abbott Paine

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 William A Paine'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

April 6, 2017 - Present

GENCAP PORTFOLIO MANAGEMENT

Office #1: 1100 Mar West Street Suite C, Tiburon, CA 94920

RIA

CRD#: 269910

Tiburon, CA

Past

February 4, 2014 - June 26, 2015

BROWNSTONE INVESTMENT GROUP, LLC

CRD#: 43884

SAN FRANCISCO, CA

Past

February 27, 2012 - February 7, 2014

KGS-ALPHA CAPITAL MARKETS, L.P.

CRD#: 151705

SAN RAFAEL, CA

Past

September 28, 2011 - February 22, 2012

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

SAN FRANCISCO, CA

Past

September 23, 2011 - February 22, 2012

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

SAN FRANCISCO, CA

Past

October 21, 2009 - February 25, 2011

MF GLOBAL INC.

CRD#: 6731

MANHATTAN BEACH, CA

Past

May 20, 2009 - October 26, 2009

STONE & YOUNGBERG LLC

CRD#: 795

SAN FRANCISCO, CA

Past

April 29, 2009 - October 26, 2009

STONE & YOUNGBERG LLC

RIA

CRD#: 795

SAN FRANCISCO, CA

Past

May 12, 2006 - April 28, 2009

RAUB/BROCK CAPITAL MANAGEMENT, INC.

RIA

CRD#: 118034

LARKSPUR, CA

Past

January 7, 2005 - April 3, 2006

FHN FINANCIAL SECURITIES CORP.

CRD#: 46346

SAN FRANCISCO, CA

Past

March 20, 1997 - January 7, 2005

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

September 15, 1994 - March 12, 1997

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

June 11, 1992 - December 1, 1992

EXPANSION CAPITAL SECURITIES

CRD#: 24121

SAN FRANCISCO, CA

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".

GENCAP PORTFOLIO MANAGEMENT

FRONT ROW ADVISORS LLC | GENCAP PORTFOLIO MANAGEMENT

CRD#: 269910 / SEC#: 801-106577

RIA

Registered Investment Advisory firm - (8/25/2015 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
(4/6/2017)

IAR

Texas
(11/2/2017)

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

IAR

Series 65

Date: 4/6/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/26/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/26/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/2/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/25/2002

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 8/21/2001

General Securities Principal Examination

Current Firm

GENCAP PORTFOLIO MANAGEMENT

FRONT ROW ADVISORS LLC | GENCAP PORTFOLIO MANAGEMENT

CRD#: 269910 / SEC#: 801-106577

RIA

Registered Investment Advisory firm - (8/25/2015 Approved)

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Contact information

Main Address

1100 Mar West Street Suite C, Tiburon, CA 94920

Mailing Address

Phone number

(415) 797-6003

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-FRONT ROW ADVISORS LLC (2/20/2025)

Regulatory assets under management

Total Number of Accounts	546
AUM (Assets Under Management)	$ 396,253,659

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.

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Firm Stability Insights

William A. Paine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William A Paine's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROWNSTONE INVESTMENT GROUP, LLC

KGS-ALPHA CAPITAL MARKETS, L.P.

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

MF GLOBAL INC.

STONE & YOUNGBERG LLC

STONE & YOUNGBERG LLC

RAUB/BROCK CAPITAL MANAGEMENT, INC.

FHN FINANCIAL SECURITIES CORP.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

GRUNTAL & CO., L.L.C.

EXPANSION CAPITAL SECURITIES

Primary Firm SEC Registration

GENCAP PORTFOLIO MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/6/2017

Series 63

Date: 5/26/2009

SIE

Date: 6/26/2015

Series 7

Date: 5/19/2009

Series 10

Date: 7/2/2002

Series 9

Date: 6/25/2002

Series 24

Date: 8/21/2001

Current Firm

GENCAP PORTFOLIO MANAGEMENT

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GENCAP PORTFOLIO MANAGEMENT

TRUST BUT VERIFY

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