Eric J. Richards

RAUB BROCK CAPITAL MANAGEMENT, LP

Larkspur, CA 94939

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CRD#: 5009204

Professional summary

Eric Justin Richards is a registered financial advisor currently at RAUB BROCK CAPITAL MANAGEMENT, LP located in Larkspur, California.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Eric has worked at 3 firms and has passed the Series 63, SIE, 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 Eric Justin Richards'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

August 11, 2021 - Present

RAUB BROCK CAPITAL MANAGEMENT, LP

Office #1: 700 Larkspur Landing Circle Suite 240, Larkspur, CA 94939

RIA

CRD#: 153994

Larkspur, CA

Past

May 30, 2017 - December 31, 2020

RAUB BROCK CAPITAL MANAGEMENT, LP

RIA

CRD#: 153994

LARKSPUR, CA

Past

May 24, 2007 - April 25, 2016

FRED ALGER & COMPANY, LLC

CRD#: 5300

NEW YORK, NY

Past

September 20, 2005 - April 25, 2007

J.P. MORGAN SECURITIES LLC

CRD#: 79

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".

RAUB BROCK CAPITAL MANAGEMENT, LP

CRD#: 153994 / SEC#: 801-71732

RIA

Registered Investment Advisory firm - (8/6/2010 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
(8/11/2021)

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

Series 63

Date: 9/21/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/25/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 12/1/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 10/18/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 9/19/2005

General Securities Representative Examination

Current Firm

RAUB BROCK CAPITAL MANAGEMENT, LP

CRD#: 153994 / SEC#: 801-71732

RIA

Registered Investment Advisory firm - (8/6/2010 Approved)

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Contact information

Main Address

700 Larkspur Landing Circle Suite 240, Larkspur, CA 94939

Mailing Address

Phone number

(415) 927-6990

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAUB BROCK CAPITAL FORM ADV PART 2A AND PART 2B - MARCH 2025 (3/5/2025)

Regulatory assets under management

Total Number of Accounts	7,179
AUM (Assets Under Management)	$ 3,224,358,789

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

Eric J. Richards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Justin Richards's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAUB BROCK CAPITAL MANAGEMENT, LP

FRED ALGER & COMPANY, LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

RAUB BROCK CAPITAL MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 63

Date: 9/21/2005

SIE

Date: 4/25/2016

Series 86

Date: 12/1/2005

Series 87

Date: 10/18/2005

Series 7

Date: 9/19/2005

Current Firm

RAUB BROCK CAPITAL MANAGEMENT, LP

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RAUB BROCK CAPITAL MANAGEMENT, LP

TRUST BUT VERIFY

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