Michael S. Peasley

TONE CAPITAL

Richmond, VA 23230

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CRD#: 2893952

Professional summary

Michael Steven Peasley, who also goes by Mike Peasley, is a registered financial advisor currently at TONE CAPITAL, LLC located in Richmond, Virginia.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Michael has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 87 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Peasley

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 Michael Steven Peasley'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

July 27, 2017 - Present

TONE CAPITAL, LLC

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

RIA

CRD#: 285622

Richmond, VA

Past

December 22, 2014 - June 9, 2017

STERLING CAPITAL DISTRIBUTORS, LLC

CRD#: 103934

Richmond, VA

Past

December 15, 2010 - January 16, 2013

SCOTT & STRINGFELLOW, LLC

RIA

CRD#: 6255

RICHMOND, VA

Past

October 27, 2010 - January 16, 2013

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

May 5, 1999 - December 13, 2004

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

February 2, 1999 - May 5, 1999

SCOTT & STRINGFELLOW, INC.

CRD#: 3309

RICHMOND, VA

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
(7/27/2017)

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 66

Date: 12/14/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/18/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/26/2010

General Securities Representative Examination

General Industry/Product Exam

Series 87

Date: 11/18/2004

Research Analyst Exam - Part II Regulations Module

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.

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Advisor Monitoring

Firm Stability Insights

Michael S. Peasley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven Peasley's CRS (Customer Relationship Summary).

Certified licenses

Experience

STERLING CAPITAL DISTRIBUTORS, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, INC.

Primary Firm SEC Registration

TONE CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/14/2010

Series 63

Date: 2/18/1999

SIE

Date: 6/9/2017

Series 7

Date: 10/26/2010

Series 87

Date: 11/18/2004

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

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