Michael A. Phippen

GORDIAN WEALTH ADVISORS

Mill Valley, CA 94941

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CRD#: 3020686

Professional summary

Michael Allen Phippen is a registered financial advisor currently at GORDIAN WEALTH ADVISORS, LLC located in Mill Valley, California and CAPULENT LLC located in Mill Valley, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 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.

1. GORDIAN WEALTH ADVISORS, LLC, MILL VALLEY, CA INVESTMENT ADVISORY FIRM, INVESTMENT-RELATED,INVESTMENT ADVISORY SERVICES, HOURS PER MONTH SPENT VARIES. 2. GORDIAN CAPITAL MANAGEMENT, REGISTERED INVESTMENT ADVISOR, FUND OF FUND, MANAGING MEMBER, MILL VALLEY, CA, INVESTMENT-RELATED, HOURS PER MONTH SPENT VARIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Allen Phippen'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

December 2, 2015 - Present

GORDIAN WEALTH ADVISORS, LLC

Office #1: 100 B Shoreline Hwy Suite 302, Mill Valley, CA 94941

RIA

CRD#: 281775

Mill Valley, CA

Current

November 13, 2017 - Present

CAPULENT LLC

Office #1: 100 B Shoreline Hwy Ste 302, Mill Valley, CA 94941

CRD#: 155155

Mill Valley, CA

Past

June 5, 2012 - January 6, 2015

GORDIAN CAPITAL MANAGEMENT, LLC

RIA

CRD#: 160508

MILL VALLEY, CA

Past

May 21, 2012 - December 31, 2015

CROSSPOINT CAPITAL MANAGEMENT

RIA

CRD#: 150212

ORINDA, CA

Past

April 17, 2012 - May 5, 2017

SANCTUARY SECURITIES LLC

CRD#: 144091

MILL VALLEY, CA

Past

April 13, 1999 - June 26, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

GORDIAN WEALTH ADVISORS, LLC

CRD#: 281775 / SEC#: 801-106836

RIA

Registered Investment Advisory firm - (10/30/2015 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(12/2/2015)

California
(11/13/2017)

IAR

Texas
(9/12/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/18/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/15/2002

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: 4/16/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GORDIAN WEALTH ADVISORS, LLC

CRD#: 281775 / SEC#: 801-106836

RIA

Registered Investment Advisory firm - (10/30/2015 Approved)

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Contact information

Main Address

100 B Shoreline Hwy Suite 302, Mill Valley, CA 94941

Mailing Address

Phone number

(833) 467-3426

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

GORDIAN WEALTH ADVISORS LLC ADV PART 2A (9/25/2025)

Regulatory assets under management

Total Number of Accounts	343
AUM (Assets Under Management)	$ 348,069,536

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 A. Phippen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Allen Phippen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPULENT LLC

GORDIAN CAPITAL MANAGEMENT, LLC

CROSSPOINT CAPITAL MANAGEMENT

SANCTUARY SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

GORDIAN WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2012

Series 63

Date: 4/15/2002

SIE

Date: 10/1/2018

Series 7

Date: 4/16/2012

FINRA

Current Firm

GORDIAN WEALTH ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GORDIAN WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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