SR
Sanjeev Rao
LAVELLE CAPITAL
San Francisco, CA 94104
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CRD#: 5182959
SR
Professional summary
Sanjeev Rao is a registered financial advisor currently at LAVELLE CAPITAL located in San Francisco, California.
Sanjeev is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Sanjeev has worked at 2 firms and has passed the Series 66, Series 57TO, SIE, Series 7 and Series 3 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.
CRS (Client Relationship Summary) - RIA
Click below to view Sanjeev Rao'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®
NoneExperience
Current
March 14, 2022 - Present
LAVELLE CAPITAL
Office #1: 345 California St Ste 600, San Francisco, CA 94104RIA
CRD#: 316754
San Francisco, CA
Past
October 24, 2006 - September 10, 2021
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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".
LC
LAVELLE CAPITAL
LAVELLE CAPITAL | VSR CAPITAL MANAGEMENT LP | LAVELLE CAPITAL LP
CRD#: 316754 / SEC#: 801-122492
RIA
Registered Investment Advisory firm - (10/13/2021 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(3/14/2022)
IAR
Texas(10/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LC
LAVELLE CAPITAL
LAVELLE CAPITAL | VSR CAPITAL MANAGEMENT LP | LAVELLE CAPITAL LP
CRD#: 316754 / SEC#: 801-122492
RIA
Registered Investment Advisory firm - (10/13/2021 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
345 California St Ste 600, San Francisco, CA 94104
Mailing Address
Phone number
(415) 501-9987
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 113 |
| AUM (Assets Under Management) | $ 305,488,246 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Withdrawn | 9/13/2021 |
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.
