Liping Cai

GRANDEUR PEAK GLOBAL ADVISORS

Salt Lake City, UT 84101

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CRD#: 5151396

Professional summary

Liping Cai, who also goes by Ally Cai, is a registered financial advisor currently at GRANDEUR PEAK GLOBAL ADVISORS located in Salt Lake City, Utah.

Liping is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Liping has worked at 2 firms and has passed the Series 63, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ally Cai

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 Liping Cai's 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

October 13, 2015 - Present

GRANDEUR PEAK GLOBAL ADVISORS

Office #1: 136 S Main St Ste 720, Salt Lake City, UT 84101

RIA

CRD#: 158270

Salt Lake City, UT

Past

July 11, 2006 - May 11, 2012

WILLIAM BLAIR

CRD#: 1252

SHANGHAI,

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".

GRANDEUR PEAK GLOBAL ADVISORS

GRANDEUR PEAK GLOBAL ADVISORS | GRANDEUR PEAK GLOBAL ADVISORS, LLC

CRD#: 158270 / SEC#: 801-72540

RIA

Registered Investment Advisory firm - (7/6/2011 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

Utah
(10/13/2015)

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: 7/14/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 8/18/2006

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 8/16/2006

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 7/10/2006

General Securities Representative Examination

Current Firm

GRANDEUR PEAK GLOBAL ADVISORS

GRANDEUR PEAK GLOBAL ADVISORS | GRANDEUR PEAK GLOBAL ADVISORS, LLC

CRD#: 158270 / SEC#: 801-72540

RIA

Registered Investment Advisory firm - (7/6/2011 Approved)

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Contact information

Main Address

136 S Main St Ste 720, Salt Lake City, UT 84101

Mailing Address

Phone number

(801) 384-0000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

GRANDEUR PEAK GLOBAL ADVISORS BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	18
AUM (Assets Under Management)	$ 4,872,509,175

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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Liping Cai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Liping Cai's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRANDEUR PEAK GLOBAL ADVISORS

WILLIAM BLAIR

Primary Firm SEC Registration

GRANDEUR PEAK GLOBAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 7/14/2006

Series 87

Date: 8/18/2006

Series 86

Date: 8/16/2006

Series 7

Date: 7/10/2006

Current Firm

GRANDEUR PEAK GLOBAL ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRANDEUR PEAK GLOBAL ADVISORS

TRUST BUT VERIFY

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