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RIA / WealthAdvisor20 years in industry

WILLIAM A PAINE

Advisor at GENCAP PORTFOLIO MANAGEMENT

TIBURON, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 12, 2006 to Sep 14, 2026

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

Current firm: GENCAP PORTFOLIO MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 12, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 26, 2009
First registration: May 12, 2006
Dual registered: no
Other names: BILL PAINE|WILLIAM ABBOTT PAINE
IAPD individual key: 2218036

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
GENCAP PORTFOLIO MANAGEMENT	Independent wealth	Apr 6, 2017	n/a	yes	TIBURON, CA	Current employment
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Sep 23, 2011	Feb 22, 2012	no	SAN FRANCISCO, CA	Previous registration
STONE & YOUNGBERG LLC	Former SEC adviser	Apr 29, 2009	Oct 26, 2009	no	SAN FRANCISCO, CA	Previous registration
RAUB/BROCK CAPITAL MANAGEMENT, INC.	n/a	May 12, 2006	Apr 28, 2009	no	LARKSPUR, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B RILEY WEALTH MANAGEMENT	GENCAP PORTFOLIO MANAGEMENT	Feb 22, 2012	Apr 6, 2017	1,870	Firm change after gap	Other
STONE & YOUNGBERG LLC	B RILEY WEALTH MANAGEMENT	Oct 26, 2009	Sep 23, 2011	697	Firm change after gap	Other
RAUB/BROCK CAPITAL MANAGEMENT, INC.	STONE & YOUNGBERG LLC	Apr 28, 2009	Apr 29, 2009	1	Firm change	Other

Relationships

Registered with (4)

→ GENCAP PORTFOLIO MANAGEMENTRegistered adviserregistration: current employment
Apr 6, 2017 to presentfactForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 23, 2011 to Feb 22, 2012factForm ADV
→ STONE & YOUNGBERG LLCRegistered adviserregistration: previous registration
Apr 29, 2009 to Oct 26, 2009factForm ADV
→ RAUB/BROCK CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
May 12, 2006 to Apr 28, 2009factForm ADV

Dated events

No dated event names this entity yet.