Paul V. Grace

ASPIREAN WEALTH

Mill Valley, CA 94941

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CRD#: 4011326

Professional summary

Paul Victor Grace, who also goes by Paul Grace, is a registered financial advisor currently at ASPIREAN WEALTH, LLC located in Mill Valley, California.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Paul has worked at 4 firms and has passed the Series 66, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul Grace

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) TAX PREPARER. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. (2)PROVIDER OF LIFE INSURANCE, FIXED ANNUITIES, LONG TERM CARE AND DISABILITY. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Victor Grace'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 3, 2014 - Present

ASPIREAN WEALTH, LLC

Office #1: 6 Knoll Lane Suite B, Mill Valley, CA 94941

RIA

CRD#: 173138

Mill Valley, CA

Past

April 27, 2012 - October 31, 2014

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

MILL VALLEY, CA

Past

April 27, 2012 - October 31, 2014

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

MILL VALLEY, CA

Past

February 7, 2001 - May 3, 2012

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MILL VALLEY, CA

Past

October 26, 1999 - May 3, 2012

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

MILL VALLEY, 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".

ASPIREAN WEALTH, LLC

ASPIREAN WEALTH, LLC | GRACE FINANCIAL ASSOCIATES, LLC

CRD#: 173138 / SEC#: 801-121642

RIA

Registered Investment Advisory firm - (6/25/2021 Approved)

California

Registered Investment Advisory firm - (9/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (8/13/2021 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
(11/3/2014)

IAR

Texas
(9/3/2020)

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: 11/19/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/25/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ASPIREAN WEALTH, LLC

ASPIREAN WEALTH, LLC | GRACE FINANCIAL ASSOCIATES, LLC

CRD#: 173138 / SEC#: 801-121642

RIA

Registered Investment Advisory firm - (6/25/2021 Approved)

California

Registered Investment Advisory firm - (9/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (8/13/2021 Terminated)

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Contact information

Main Address

6 Knoll Lane Suite B, Mill Valley, CA 94941

Mailing Address

Phone number

(844) 687-5342

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	447
AUM (Assets Under Management)	$ 194,802,079

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

Paul V. Grace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Victor Grace's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

Primary Firm SEC Registration

ASPIREAN WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/19/1999

SIE

Date: 10/31/2014

Series 6

Date: 10/25/1999

Current Firm

ASPIREAN WEALTH, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASPIREAN WEALTH, LLC

TRUST BUT VERIFY

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