AdvisorOS Directory
Claim Profile
KL

Katherine Rose Lock

GRACIAN CAPITAL LLC·SOLANA BEACH, California
Unclaimed Profile
380 STEVENS AVENUE, SOLANA BEACH, CA 92075CRD# 6124511Firm CRD# 328687
01

About

Katherine Rose Lock is a registered financial advisor based in SOLANA BEACH, California, affiliated with GRACIAN CAPITAL LLC. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Retirement Planning
Client Types
Pension & Retirement Plans
03

Firm Overview

Firm
GRACIAN CAPITAL LLC
GRACIAN CAPITAL LLC
AUM
$111M
Regulatory assets under management
Employees
3
Total firm employees
View all advisors at GRACIAN CAPITAL LLC →
Services
Pension consulting
Other
04

Background

Compensation
Percentage of AUM
Subscription fees
Performance-based fees
Regulatory
SEC/IARD CRD# 6124511
Firm CRD# 328687
No disclosures on file
View on FINRA BrokerCheck →

Looking for a financial advisor in SOLANA BEACH?

Browse all registered financial advisors in SOLANA BEACH, California or claim this profile if it's yours.

Browse SOLANA BEACH AdvisorsAre you this advisor? Claim profile

Looking to grow your practice?

Coastal Wealth affiliated advisors get enhanced profiles, priority placement, and access to a national client network.

Learn More About Coastal Wealth
05

Frequently Asked Questions

What services does Katherine Rose Lock offer?
Katherine Rose Lock specializes in Retirement Planning. Contact their office in SOLANA BEACH, California for a consultation.
What are Katherine Rose Lock's credentials?
Katherine Rose Lock is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Katherine Rose Lock located?
Katherine Rose Lock is based in SOLANA BEACH, California, working with GRACIAN CAPITAL LLC. Their office serves clients in the SOLANA BEACH metropolitan area and surrounding communities.
How does Katherine Rose Lock charge for services?
Katherine Rose Lock's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is GRACIAN CAPITAL LLC?
GRACIAN CAPITAL LLC has approximately 3 employees and manages $111M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
Not sure what to look for in an advisor?
Try our free Advisor Match Quiz →
Other advisors in SOLANA BEACH
Andrew Yorisato Wasa — FOCUS INVESTMENT ADVISORS, INCHenry Joseph Ferry — FOCUS INVESTMENT ADVISORS, INCLee Alfred Tripodi — LAUREL WEALTH ADVISORS, INC.Linda Kaye Kitchens — HOKANSON ASSOCIATES, INC.Gregory Serras — VANGUARD CAPITAL
Nearby cities in California
SAN FRANCISCO (3797)LOS ANGELES (2042)MENLO PARK (796)SAN DIEGO (729)PALO ALTO (715)
City Guides
SAN FRANCISCO GuideLOS ANGELES GuideMENLO PARK GuideSAN DIEGO GuidePALO ALTO Guide
Research
Advisor Fees in CaliforniaNational Fee Analysis
Browse by specialty
Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Request removal of this profile