David V. Lavalle

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CRD#: 4559446

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Vincent Lavalle was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2002. David had worked at 7 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) Grayscale Operating, LLC (Parent Company to the Firm and Grayscale Advisors, LLC); 290 Harbor Drive, Stamford, CT; Investment Related; Investment Advisor Activity, Global Head of ETF's; December 2021; 100+ Hours/Month. 2) Wall Street Rides FAR; 630 Ninth Avenue, Suite 1207 New York, NY 10036; Non-Investment Related; Non-Profit Organization; Member of Advisory Board; Start Date: 01/2018; 1 Hour/Month. 3) Grayscale Funds Trust (Affiliate to the Firm); Investment Related; 290 Harbor Drive, Stamford, CT; Investment Related; Board member oversight activities; Trustee and Principal Executive Officer; January 2024; 10+ Hours/Month; 0+ Hours/Month

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 9, 2024 - July 31, 2025

GRAYSCALE ADVISORS

RIA

CRD#: 314868

Brooklyn, NY

Past

February 1, 2022 - July 31, 2025

GRAYSCALE SECURITIES, LLC

CRD#: 305907

Stamford, CT

Past

December 20, 2021 - October 3, 2022

GENESIS GLOBAL TRADING, INC

CRD#: 136962

STAMFORD, CT

Past

November 12, 2014 - May 21, 2019

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

New York, NY

Past

April 4, 2011 - September 19, 2014

NASDAQ EXECUTION SERVICES, LLC

CRD#: 7270

PHILADELPHIA, PA

Past

December 2, 2008 - January 3, 2011

KELLOGG CAPITAL MARKETS, LLC

CRD#: 118790

NEW YORK, NY

Past

October 29, 2002 - November 28, 2008

KELLOGG CAPITAL GROUP LLC

CRD#: 35032

NEW YORK, NY

Past

July 1, 2002 - October 30, 2002

KELLOGG CAPITAL MARKETS, LLC

CRD#: 118790

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".

GRAYSCALE ADVISORS

GRAYSCALE ADVISORS | GRAYSCALE ADVISORS, LLC

CRD#: 314868 / SEC#: 801-122921

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/22/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/14/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/21/2023

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/21/2009

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/6/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/18/2007

General Securities Principal Examination

Current Firm

GRAYSCALE ADVISORS

GRAYSCALE ADVISORS | GRAYSCALE ADVISORS, LLC

CRD#: 314868 / SEC#: 801-122921

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

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Contact information

Main Address

290 Harbor Drive 4th Floor, Stamford, CT 06902

Mailing Address

Phone number

(212) 668-1427

Established

Firm type

Fiscal year end

# of Employees

117

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

GRAYSCALE ADVISORS, LLC - PART 2A BROCHURE (4/23/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 2,301,084

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

David V. Lavalle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GRAYSCALE SECURITIES, LLC

GENESIS GLOBAL TRADING, INC

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

NASDAQ EXECUTION SERVICES, LLC

KELLOGG CAPITAL MARKETS, LLC

KELLOGG CAPITAL GROUP LLC

KELLOGG CAPITAL MARKETS, LLC

Primary Firm SEC Registration

GRAYSCALE ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/22/2024

Series 63

Date: 11/14/2014

Series 3

Date: 11/21/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/21/2009

Series 7

Date: 9/6/2002

Series 24

Date: 12/18/2007

Current Firm

GRAYSCALE ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRAYSCALE ADVISORS

TRUST BUT VERIFY

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