Erick E. Ormsby

ALCOSTA CAPITAL MANAGEMENT

SAN RAMON, CA 94583

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CRD#: 2572594

Professional summary

Erick Elon Ormsby, who also goes by Erick Ormsby, is a registered financial advisor currently at ALCOSTA CAPITAL MANAGEMENT, INC. located in San Ramon, California.

Erick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Erick has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 2 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erick Ormsby

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 Erick Elon Ormsby'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 4, 2003 - Present

ALCOSTA CAPITAL MANAGEMENT, INC.

Office #1: 3180 Crow Canyon Pl. Suite 150, San Ramon, CA 94583

RIA

CRD#: 128679

SAN RAMON, CA

Past

August 19, 2002 - March 1, 2007

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SAN RAMON, CA

Past

August 16, 2002 - March 1, 2007

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN RAMON, CA

Past

June 18, 1999 - August 21, 2002

HOTOVEC, POMERANZ & CO., LLC

CRD#: 41178

SAN FRANCISCO, CA

Past

September 14, 1995 - July 1, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, 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".

ALCOSTA CAPITAL MANAGEMENT, INC.

ALCOSTA CAPITAL MANAGEMENT, INC. | IRON HORSE CAPITAL MANAGEMENT, INC.

CRD#: 128679 / SEC#: 801-121923

RIA

Registered Investment Advisory firm - (7/30/2021 Approved)

California

Registered Investment Advisory firm - (3/24/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/22/2022 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
(11/4/2003)

IAR

Texas
(8/28/2015)

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: 1/9/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/14/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/13/1995

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 12/6/1994

Non-Member General Securities Examination

Principal/Supervisory Exam

Series 24

Date: 10/9/2002

General Securities Principal Examination

Current Firm

ALCOSTA CAPITAL MANAGEMENT, INC.

ALCOSTA CAPITAL MANAGEMENT, INC. | IRON HORSE CAPITAL MANAGEMENT, INC.

CRD#: 128679 / SEC#: 801-121923

RIA

Registered Investment Advisory firm - (7/30/2021 Approved)

California

Registered Investment Advisory firm - (3/24/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/22/2022 Terminated)

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Contact information

Main Address

3180 Crow Canyon Pl. Suite 150, San Ramon, CA 94583

Mailing Address

Phone number

(888) 267-6729

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

ALCOSTA PART 2A + 2B_FINAL_3.20.2025.PDF (3/20/2025)

Regulatory assets under management

Total Number of Accounts	127
AUM (Assets Under Management)	$ 220,583,462

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

Erick E. Ormsby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erick Elon Ormsby's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

HOTOVEC, POMERANZ & CO., LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ALCOSTA CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/1995

Series 63

Date: 12/14/1994

Series 7

Date: 9/13/1995

Series 2

Date: 12/6/1994

Series 24

Date: 10/9/2002

Current Firm

ALCOSTA CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALCOSTA CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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