Bradley S. Stephens

TAMALPAIS ASSET MANAGEMENT

Larkspur, CA 94939

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CRD#: 2296026

Professional summary

Bradley Scott Stephens is a registered financial advisor currently at TAMALPAIS ASSET MANAGEMENT located in Larkspur, California.

Bradley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Bradley has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

Tamalpais Asset Management The business is investment-related Address: 900 Larkspur Landing Circle, Suite 100, Larkspur, CA 94939 The firm is a Register Investment Advisor My position/title: Retirement Plan Consultant Start Date: June 19, 2023 The role is full time so I devote 160 hours a month I help small and mid-sized businesses develop and maintain retirement plans. In addition, I provide wealth management services to individuals I will work at the firm's address (above) 75 - 100% of the time; the remainder would be from my home office at 243 4th Ave, San Francisco, CA 94118.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley Scott Stephens'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

October 16, 2023 - Present

TAMALPAIS ASSET MANAGEMENT

Office #1: 900 Larkspur Landing Circle Suite 100, Larkspur, CA 94939

RIA

CRD#: 301017

Larkspur, CA

Past

July 24, 2023 - November 27, 2024

CALAMAR FINANCIAL GROUP, LLC

CRD#: 283992

AMHERST, NY

Past

July 18, 2014 - March 8, 2022

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

November 28, 2011 - September 18, 2013

FORESIDE GLOBAL SERVICES, LLC

CRD#: 147382

SAN FRANCISCO, CA

Past

August 21, 2003 - December 31, 2003

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

WESTLAKE VILLAGE, CA

Past

May 14, 2002 - January 31, 2003

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

SAN FRANCISCO, CA

Past

March 9, 2002 - January 31, 2003

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

February 1, 2002 - March 9, 2002

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

September 16, 1999 - February 14, 2002

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

July 13, 1993 - September 7, 1999

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, 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".

TAMALPAIS ASSET MANAGEMENT

MOUNT TAMALPAIS ASSET MANAGEMENT, LLC | TANDEM ASSET MANAGEMENT, LLC | TAMALPAIS ASSET MANAGEMENT, LLC | TAMALPAIS ASSET MANAGEMENT | SAGE PATH ADVISORY SERVICES

CRD#: 301017 / SEC#: 801-132936

RIA

Registered Investment Advisory firm - (6/6/2025 Approved)

California

Registered Investment Advisory firm - (7/23/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/23/2025 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

California
(10/16/2023)

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: 10/13/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/12/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/14/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/26/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TAMALPAIS ASSET MANAGEMENT

MOUNT TAMALPAIS ASSET MANAGEMENT, LLC | TANDEM ASSET MANAGEMENT, LLC | TAMALPAIS ASSET MANAGEMENT, LLC | TAMALPAIS ASSET MANAGEMENT | SAGE PATH ADVISORY SERVICES

CRD#: 301017 / SEC#: 801-132936

RIA

Registered Investment Advisory firm - (6/6/2025 Approved)

California

Registered Investment Advisory firm - (7/23/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/23/2025 Terminated)

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Contact information

Main Address

900 Larkspur Landing Circle Suite 100, Larkspur, CA 94939

Mailing Address

Phone number

(415) 723-8300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-TAMALPAIS ASSET MANAGEMENT, LLC (6/24/2025)

Regulatory assets under management

Total Number of Accounts	682
AUM (Assets Under Management)	$ 209,461,440

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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Bradley S. Stephens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley Scott Stephens's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALAMAR FINANCIAL GROUP, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

FORESIDE GLOBAL SERVICES, LLC

FARMERS FINANCIAL SOLUTIONS, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

SUTRO & CO. INCORPORATED

PIPER SANDLER & CO.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

Primary Firm SEC Registration

TAMALPAIS ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/13/2023

Series 63

Date: 7/12/2018

SIE

Date: 10/1/2018

Series 7

Date: 9/14/2017

Series 6

Date: 11/26/2011

Current Firm

TAMALPAIS ASSET MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TAMALPAIS ASSET MANAGEMENT

TRUST BUT VERIFY

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