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ST

Spencer M. Tracy

PRINCIPIUM INVESTMENTS LLC
Boulder, CO
Some features on this profile are disabled
CRD#: 7165363
ST

Professional summary

Spencer Michael Chandler Tracy, who also goes by Spencer Tracy, is a registered financial advisor currently at PRINCIPIUM INVESTMENTS LLC located in Boulder, Colorado.

Spencer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Spencer has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Spencer Tracy

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 Spencer Michael Chandler Tracy'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 19, 2021 - Present

PRINCIPIUM INVESTMENTS LLC

RIA
CRD#: 124989
Boulder, CO

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".
PI
PRINCIPIUM INVESTMENTS LLC
GLOBAL CAPITAL ADVISORS, LLC | VINOY CAPITAL, LLC | VINOY CAPITAL | PRINCIPIUM INVESTMENTS LLC | PRINCIPIUM INVESTMENTS | PRINCIPIUM

CRD#: 124989 / SEC#: 801-61768

RIA
Registered Investment Advisory firm - (1/29/2003 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
Colorado
(7/19/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/18/2021
Uniform Investment Adviser Law Examination

Current Firm

PI
PRINCIPIUM INVESTMENTS LLC
GLOBAL CAPITAL ADVISORS, LLC | VINOY CAPITAL, LLC | VINOY CAPITAL | PRINCIPIUM INVESTMENTS LLC | PRINCIPIUM INVESTMENTS | PRINCIPIUM

CRD#: 124989 / SEC#: 801-61768

RIA
Registered Investment Advisory firm - (1/29/2003 Approved)
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Contact information

Main Address
Boulder, CO
Mailing Address
Phone number
(303) 351-5353
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (10 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

DISCLOSURE BROCHURE FOR PRINCIPIUM INVESTMENTS, LLC DBA PRINCIPIUM (4/30/2025)

Regulatory assets under management

Total Number of Accounts493
AUM (Assets Under Management)$ 198,343,689

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

PRINCIPIUM INVESTMENTS LLC

CRD#: 124989Boulder, CO

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