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GS

Gregory S. Sommer

RAUB BROCK CAPITAL MANAGEMENT, LP
Larkspur, CA 94939
Some features on this profile are disabled
CRD#: 5494878
GS

Professional summary

Gregory Scott Sommer is a registered financial advisor currently at RAUB BROCK CAPITAL MANAGEMENT, LP located in Larkspur, California.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Gregory has worked at 2 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

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 Gregory Scott Sommer'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

April 5, 2024 - Present

RAUB BROCK CAPITAL MANAGEMENT, LP

Office #1: 700 Larkspur Landing Circle Suite 240, Larkspur, CA 94939
RIA
CRD#: 153994
Larkspur, CA
Past

May 26, 2008 - July 9, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
WALNUT CREEK, CA
Past

April 23, 2008 - July 9, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
WALNUT CREEK, 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".
RB
RAUB BROCK CAPITAL MANAGEMENT, LP
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
(4/5/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/24/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/2008
General Securities Representative Examination

Current Firm

RB
RAUB BROCK CAPITAL MANAGEMENT, LP
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
9

SEC notice filing (2 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

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

Regulatory assets under management

Total Number of Accounts7,179
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.

Company Information

RAUB BROCK CAPITAL MANAGEMENT, LP

CRD#: 153994Larkspur, CA 94939

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