Richard J. Grasfeder

SVB WEALTH

Boston, MA 02109

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CRD#: 4996655

Professional summary

Richard John Grasfeder is a registered financial advisor currently at SVB WEALTH located in Boston, Massachusetts.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Richard has worked at 4 firms and has passed the Series 66, Series 86, Series 87 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 Richard John Grasfeder'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

July 21, 2025 - Present

SVB WEALTH

Office #1: 53 State Street, Boston, MA 02109

RIA

CRD#: 172832

Boston, MA

Past

July 16, 2015 - November 1, 2022

SVB WEALTH

RIA

CRD#: 172832

BOSTON, MA

Past

April 15, 2011 - June 8, 2012

RBC CAPITAL MARKETS, LLC

CRD#: 31194

BOSTON, MA

Past

June 29, 2006 - March 18, 2011

JEFFERIES LLC

CRD#: 2347

BOSTON, MA

Past

October 11, 2005 - June 9, 2006

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

BOSTON, MA

Past

September 13, 2005 - June 9, 2006

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

BOSTON, MA

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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 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

Massachusetts
(7/21/2025)

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: 9/19/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 86

Date: 10/29/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 10/29/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 9/12/2005

General Securities Representative Examination

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	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.

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Firm Stability Insights

Richard J. Grasfeder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard John Grasfeder's CRS (Customer Relationship Summary).

Certified licenses

Experience

SVB WEALTH

RBC CAPITAL MARKETS, LLC

JEFFERIES LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2005

Series 86

Date: 10/29/2005

Series 87

Date: 10/29/2005

Series 7

Date: 9/12/2005

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

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