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RS

Richard B. Sheldon

Some features on this profile are disabled
CRD#: 4915914
RS

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.

Richard Bradshaw Sheldon was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2005. Richard had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 31 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

February 18, 2015 - April 2, 2019

ICONIQ CAPITAL, LLC

RIA
CRD#: 159198
SAN FRANCISCO, CA
Past

August 27, 2013 - January 31, 2014

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
SAN FRANCISCO, CA
Past

May 8, 2009 - September 9, 2010

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
SAN FRANCISCO, CA
Past

June 20, 2005 - September 9, 2010

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
SAN FRANCISCO, CA
Past

February 18, 2005 - August 11, 2005

RCM DISTRIBUTORS LLC

BD
CRD#: 120500
SAN FRANCISCO, 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".
IC
ICONIQ CAPITAL, LLC
ICONIQ CAPITAL | ICQ OPPORTUNITIES GP, L.P. (RELYING ADVISER) | ICQ MANAGEMENT, LLC (RELYING ADVISER) | ICQ ETHOS GP, L.P. (RELYING ADVISER) | ICQ CS GP, L.P. (RELYING ADVISER) | ICQ CPE I GP, LLC (RELYING ADVISER) | ICONIQ STRATEGIC PARTNERS III GP, L.P. (RELYING ADVISER) | ICONIQ STRATEGIC PARTNERS II GP, L.P. (RELYING ADVISER) | ICONIQ STRATEGIC PARTNERS | ICONIQ STRATEGIC MANAGEMENT | ICONIQ CAPITAL, LLC | ICONIQ CAPITAL GROUP

CRD#: 159198 / SEC#: 801-72878

RIA
Registered Investment Advisory firm - (12/1/2011 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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/18/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/20/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 5/13/2009
Futures Managed Funds Examination

Current Firm

IC
ICONIQ CAPITAL, LLC
ICONIQ CAPITAL | ICQ OPPORTUNITIES GP, L.P. (RELYING ADVISER) | ICQ MANAGEMENT, LLC (RELYING ADVISER) | ICQ ETHOS GP, L.P. (RELYING ADVISER) | ICQ CS GP, L.P. (RELYING ADVISER) | ICQ CPE I GP, LLC (RELYING ADVISER) | ICONIQ STRATEGIC PARTNERS III GP, L.P. (RELYING ADVISER) | ICONIQ STRATEGIC PARTNERS II GP, L.P. (RELYING ADVISER) | ICONIQ STRATEGIC PARTNERS | ICONIQ STRATEGIC MANAGEMENT | ICONIQ CAPITAL, LLC | ICONIQ CAPITAL GROUP

CRD#: 159198 / SEC#: 801-72878

RIA
Registered Investment Advisory firm - (12/1/2011 Approved)
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Contact information

Main Address
50 Beale St. Ste 2300, San Francisco, CA 94105
Mailing Address
P.o. Box 2929, San Francisco, CA 94126-2929
Phone number
(415) 967-7763
Established
Firm type
Fiscal year end
# of Employees
463

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ICONIQ CAPITAL PART 2A MARCH 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts1,537
AUM (Assets Under Management)$ 95,050,705,302

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/20/2024
Cover Page
Report
01/25/2024
Cover Page
Report
02/23/2023
Cover Page
Report

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.

Company Information

ICONIQ CAPITAL, LLC

CRD#: 159198

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