Laura D. Ponticello

SAGE RHINO CAPITAL LLC

Mission Viejo, CA

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CRD#: 4672390

Professional summary

Laura Dan'ette Ponticello, who also goes by Laura D Smith, Laura Dan'ette Smith, is a registered financial advisor currently at SAGE RHINO CAPITAL LLC located in Mission Viejo, California.

Laura is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Laura has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Laura D Smith | Laura Dan'ette Smith

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.

For profit or not for profit: For-Profit Organization Name of outside business organization: LMNOP Group. Investment related: No. Address of business: 21902 Calabaza, Mission Viejo, California 92691/ Nature of business: Consulting Firm in pharmaceutical and medical device industry. Position, title, association: Authorized signer on bank accounts. Start date of relationship: 1/8/2020 Number of hours devoted: 0 hour(s) Annually. Number of hours devoted during trading hours: 0 hour(s). Duties: Laura's husband provides consulting services for the pharmaceutical and medical device industry. Laura has no responsibility for the company aside from being an authorized signer on the checking account under the title of the business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Dan'ette Ponticello'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

March 22, 2021 - Present

SAGE RHINO CAPITAL LLC

RIA

CRD#: 290148

Mission Viejo, CA

Past

May 6, 2010 - March 22, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LAGUNA NIGUEL, CA

Past

October 23, 2009 - March 22, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LAGUNA NIGUEL, CA

Past

March 10, 2006 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

LAGUNA NIGUEL, CA

Past

August 11, 2003 - February 15, 2006

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

June 16, 2003 - July 22, 2003

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

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
(3/22/2021)

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: 6/2/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/20/2003

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: 6/14/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/13/2003

Investment Company Products/Variable Contracts 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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Laura D. Ponticello

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Dan'ette Ponticello's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

CUSO FINANCIAL SERVICES, L.P.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

SAGE RHINO CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/2/2008

Series 63

Date: 6/20/2003

SIE

Date: 10/1/2018

Series 7

Date: 6/14/2006

Series 6

Date: 6/13/2003

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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