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GS

Gregory Don Stott

APPROACH CAPITAL
GILBERT, AZ
·CRD# 4518393·24 years experience

Professional Summary

Gregory Don Stott is a registered financial advisor currently at APPROACH CAPITAL LLC located in Gilbert, Arizona. Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Gregory has worked at 6 firms and has passed the Series 66 and Series 7 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

24 years in the financial services industry

Current & Past Employments

APPROACH CAPITAL LLC·CRD# 291807
RIA
Gilbert, AZ
February 13, 2018 - Present
IRONWOOD INVESTMENT COUNSEL, LLC·CRD# 110623
RIA
Phoenix, AZ
August 3, 2016 - February 16, 2018
ALPHA FIDUCIARY·CRD# 144720
RIA
Phoenix, AZ
February 24, 2011 - July 5, 2016
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP·CRD# 111320
RIA
Mesa, AZ
November 23, 2005 - January 4, 2011
JPMORGAN FLEMING ASSET MANAGEMENT·CRD# 107247
RIA
Scottsdale, AZ
May 28, 2004 - January 11, 2005
BANC ONE SECURITIES CORPORATION·CRD# 16999
RIA
Scottsdale, AZ
May 30, 2002 - February 23, 2004
BANC ONE SECURITIES CORPORATION·CRD# 16999
BD
Chicago, IL
April 26, 2002 - February 23, 2004

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Current Firm

AC
APPROACH CAPITAL LLC

APPROACH CAPITAL LLC | CAPITAL INVESTMENTS LLC

CRD#: 291807 / SEC#: 801-136372
RIA
Registered Investment Advisory firm - SEC (5/29/2026 Approved)
Arizona
Registered Investment Advisory firm - Arizona (7/21/2026 Terminated)
Texas
Registered Investment Advisory firm - Texas (7/21/2026 Terminated)
Utah
Registered Investment Advisory firm - Utah (4/16/2024 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).

Contact Information

Main Address

Gilbert, AZ

Phone Number

(480) 993-9733

# of Employees

1

SEC notice filing (1 States and Territories)

Registered to provide investment advisory services in 1 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A-APPROACH CAPITAL LLC (7/21/2026)

Regulatory Assets Under Management

Total Number of Accounts

235

AUM (Assets Under Management)

$100,000,000

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Name of outside business: Toy Storage LLC; Is the business investment related: Yes; Location of the business: 4320 East Brown Road, suite 112 Mesa Arizona; Description of the business: Develop, build and operate outdoor storage facilities for boat and RV storage.; Position Title: Director; Responsibilities Duties: Managing the operations of the business entity including financing, construction and operations.; Start date with business: 2021-10-10;Hours devoted to business during trading hours: 5; Hours devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 0; Project timeline for development 24 months;Will an IRS form for income earned be received: Yes; Name of outside business: Magic Closet LLC; Is the business investment related: No; Location of the business: 5314 North River Run Dr. Ste 50 Provo, Utah 84604; Description of the business: Manufacturer and distributor of outdoor family yard game. Game includes balls, racquets, net and court outline.; Position Title: member; Responsibilities Duties: concept development and tournament player; Start date with business: 2021-08-01; Hours devoted to business during trading hours: 1; Hours devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 0; Will an IRS form for income earned be received: Yes;

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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".
AC
APPROACH CAPITAL LLC

APPROACH CAPITAL LLC | CAPITAL INVESTMENTS LLC

CRD#: 291807 / SEC#: 801-136372
RIA
Registered Investment Advisory firm - SEC (5/29/2026 Approved)
Arizona
Registered Investment Advisory firm - Arizona (7/21/2026 Terminated)
Texas
Registered Investment Advisory firm - Texas (7/21/2026 Terminated)
Utah
Registered Investment Advisory firm - Utah (4/16/2024 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.
IAR
Arizona
(2/13/2018)

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.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2002About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Apr 2002About the Series 7 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Gregory Don Stott's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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