Caroline Novak

SAGE RHINO CAPITAL LLC

MENLO PARK, CA 94025

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CRD#: 4445598

Professional summary

Caroline Novak is a registered financial advisor currently at SAGE RHINO CAPITAL LLC located in Menlo Park, California.

Caroline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Caroline has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Novak'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 15, 2017 - Present

SAGE RHINO CAPITAL LLC

Office #1: 101 Jefferson Drive, Menlo Park, CA 94025

RIA

CRD#: 290148

MENLO PARK, CA

Past

July 23, 2004 - January 4, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MENLO PARK, CA

Past

July 23, 2004 - January 4, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MENLO PARK, CA

Past

January 16, 2002 - August 5, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN MATEO, CA

Past

October 5, 2001 - August 5, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

SAGE RHINO CAPITAL LLC

CRD#: 290148 / SEC#: 801-112150

RIA

Registered Investment Advisory firm - (12/15/2017 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.

Highlighted states indicate IAR registrations

IAR

California
(12/15/2017)

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 65

Date: 10/17/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/4/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/2/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/4/2001

General Securities Representative Examination

Current Firm

SAGE RHINO CAPITAL LLC

CRD#: 290148 / SEC#: 801-112150

RIA

Registered Investment Advisory firm - (12/15/2017 Approved)

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Contact information

Main Address

101 Jefferson Drive, Menlo Park, CA 94025

Mailing Address

2995 Woodside Road, Suite 400-362, Woodside, CA 94062

Phone number

(650) 352-5600

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 - FIRM BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,441
AUM (Assets Under Management)	$ 787,017,457

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

Caroline Novak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Novak's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SAGE RHINO CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/17/2001

Series 63

Date: 10/9/2001

SIE

Date: 1/4/2018

Series 31

Date: 11/2/2001

Series 7

Date: 10/4/2001

Current Firm

SAGE RHINO CAPITAL LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGE RHINO CAPITAL LLC

TRUST BUT VERIFY

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