Unclaimed Profile

Richard Alan Stone

PRIVATE OCEAN, LLC·SAN RAFAEL, California

Series 00, Series 1, Series 63, Series 6536 years registeredPRIVATE OCEAN, LLC

100 SMITH RANCH RD., SAN RAFAEL, CA 94903CRD# 437398Firm CRD# 110666

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Alan Stone · SAN RAFAEL, CA

Registration

CRD #437398 · PRIVATE OCEAN, LLC · 36 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: PRIVATE OCEAN, LLC

PRIVATE OCEAN

Jan 1990 – Apr 2019

SAN RAFAEL, CA

Registrations & Exams

FINRA examinations passed

Series 00

Series 1

Series 63

Series 65

Registration record

First registered · January 24, 1990

Years registered · 36

Disclosure History

Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

PRIVATE OCEAN, LLC

CRD 110666 · SEC 801-20857

AUM

$2.8B

Regulatory assets under management

Employees

944 client accounts

Services offered by PRIVATE OCEAN, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at PRIVATE OCEAN, LLC →

Introduction

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Frequently Asked Questions

What services does Richard Alan Stone offer?

Richard Alan Stone specializes in Financial Planning, Investment Management, Wealth Management.

What are Richard Alan Stone's credentials?

Richard Alan Stone is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Alan Stone located?

Richard Alan Stone is based in SAN RAFAEL, California, last registered with PRIVATE OCEAN, LLC.

How does Richard Alan Stone charge for services?

Richard Alan Stone's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PRIVATE OCEAN, LLC?

PRIVATE OCEAN, LLC has approximately 45 employees and manages $2.8B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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