← Tributary

GROUNDED CAPITAL, LLC

MILL VALLEY, CA · CRD 323354 · IAPD ↗ · groundedcapital.com · 415-692-5760

$520.0MRegulatory AUM
7Advisory reps
13Employees
0Clients
0Planning clients
1Private funds
0States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

48
October 2026 — GROUNDED CAPITAL, LLC (MILL VALLEY, CA) left the SEC roster (was $520.0M RAUM, 7 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
33
March 2026 — GROUNDED CAPITAL, LLC reported RAUM down 67% ($1.59B -> $520.0M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
38
March 2026 — GROUNDED CAPITAL, LLC shrank from 11 to 7 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
58
April 2024 — GROUNDED CAPITAL, LLC grew from 9 to 12 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.