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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

GREGORY RICKS LLC DBA GREGORY RICKS & ASSOCIATES

GREGORY RICKS LLC, CRD 159495

METAIRIE, LA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:66bfb724-add1-d91e-af88-fd85a18a9593

Data as of Jul 26, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 22, 2016 to Jul 26, 2017
10 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $124MItem 5.F on the latest filing (2017-07-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $124M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees: 3
Accounts: 4,265
SEC number: 801-107520
CRD: 159495
Filings on the tape: 10
First filed: Mar 22, 2016
Latest filed: Jul 26, 2017
Organised: Limited Liability Company, Louisiana

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
RICKS, GREGORY, PAUL	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	04/2012	Mar 22, 2016	Jul 26, 2017
STACEY BLANCHARD RICKS	CHIEF FINANCIAL OFFICER	Na	yes	10/2011	Mar 22, 2016	Jul 26, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
GREGORY RICKS & ASSOCIATES, INC.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 1, 2017	$124M	$124M	13	4	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$124M	n/a	n/a	n/a	n/a	12	n/a	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	3	Nov 29, 2017	Oct 31, 2017	METAIRIE, LA	Firm absorbed	Other	100.0%

Relationships

Controls (2)

← RICKS, GREGORY, PAULOwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 22, 2016 to presentfactForm ADV
← STACEY BLANCHARD RICKSOwnerCHIEF FINANCIAL OFFICER, ownership code NA, domestic entity
Mar 22, 2016 to presentfactForm ADV

Registered with (4)

← GREGORY PAUL RICKSAdvisorregistration: previous registration
Jun 4, 2012 to Nov 29, 2017factForm ADV
← NICHOLAS RICHARD ROHDEAdvisorregistration: previous registration
Apr 7, 2014 to Nov 29, 2017factForm ADV
← Cody BennettAdvisorregistration: previous registration
Jul 11, 2014 to Nov 29, 2017factForm ADV
← TIFFANY COYLE NOTOAdvisorregistration: previous registration
May 6, 2016 to Jul 26, 2017factForm ADV

Moved with (1)

→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviser3 advisors, firm absorbed, same day
Nov 29, 2017 to Oct 31, 2017factForm ADV

Dated events

Occurred
Mar 22, 2016
First Form ADV filing
Gregory Ricks Llc Dba Gregory Ricks & Associates filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:66bfb724-add1-d91e-af88-fd85a18a9593
First observed: Mar 22, 2016
Last observed: Jul 26, 2017 111 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

GREGORY RICKS LLC DBA GREGORY RICKS & ASSOCIATES

GREGORY RICKS LLC, CRD 159495

METAIRIE, LA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:66bfb724-add1-d91e-af88-fd85a18a9593

Data as of Jul 26, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:29 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RICKS, GREGORY, PAUL

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

04/2012

Mar 22, 2016

Jul 26, 2017

STACEY BLANCHARD RICKS

CHIEF FINANCIAL OFFICER

yes

10/2011

Mar 22, 2016

Jul 26, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GREGORY RICKS & ASSOCIATES, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 1, 2017

$124M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$124M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Nov 29, 2017

Oct 31, 2017

METAIRIE, LA

Firm absorbed

Other

100.0%