Gregory Stott has been Managing Member & Chief Compliance Officer of Approach Capital since December 2017, is a control person of the firm and directly owns 75% or more of it.
Approach Capital LLC is a firm with $100M under management, 100 clients and 1 adviser across 2 offices, as of its July 2026 filing.
Greg Stott is Principal of Approach Capital Partners. He was trained as a Portfolio Manager at JP Morgan and, before establishing Approach Capital, spent nearly twenty years being mentored by portfolio managers. Stott launched the firm with a focus on active investment management, cash flow and estate planning, and low cost, broad based asset solutions.
Gregory Stott’s longest registration is the current one, 8 years at Approach Capital since 2018. Before joining Approach Capital in 2018, Gregory Stott was registered through Ironwood Investment Counsel, LLC and Alpha Fiduciary.
- Approach Capital LLCCurrent– present · 8 yearsGilbert, AZ · Adviser representative · Firm CRD 291807
- Ironwood Investment Counsel, LLC– · 1 yearPhoenix, AZ · Adviser representative · Firm CRD 110623
- Alpha Fiduciary– · 5 yearsPhoenix, AZ · Adviser representative · Firm CRD 144720
- Stoker Ostler Member Harris Wealth Advisors– · 5 yearsMesa, AZ · Adviser representative · Firm CRD 111320
- JPMorgan Fleming Asset Management– · under a yearScottsdale, AZ · Adviser representative · Firm CRD 107247
- Banc One Securities Corporation– · 1 yearScottsdale, AZ · Adviser representative · Firm CRD 16999
Investment adviser representative registrations
Gregory Stott is registered as an investment adviser representative in Arizona, since February 2018.
- ArizonaSince 13 February 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 3 July 2002 |
| Series 7 | General Securities Representative Examination | 25 April 2002 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Gregory Don Stott
- CRD
- 4518393
- Firm
- Approach Capital · CRD 291807
- Role
- Managing Member & Chief Compliance Officer
- Office
- Gilbert, AZ
- Registration
- Investment adviser registration
- In the industry since
- September 2003
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- approachcp.com
Where does Gregory Stott work?
Gregory Stott has been Managing Member & Chief Compliance Officer of Approach Capital LLC since December 2017, and is a control person of the firm.
Is Gregory Stott a financial advisor?
Yes. Gregory Stott has a current investment-adviser registration in Arizona, through Approach Capital since February 2018.
How many years of experience does Gregory Stott have?
Gregory Stott has 23 years in the financial industry, since September 2003, across 6 adviser firms.
What exams has Gregory Stott passed?
Gregory Stott has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in April 2002.
Where did Gregory Stott work before Approach Capital?
Before Approach Capital, Gregory Stott was registered through Alpha Fiduciary, February 2011 to July 2016; Stoker Ostler Member Harris Wealth Advisors, November 2005 to January 2011; JPMorgan Fleming Asset Management, May 2004 to January 2005; Banc One Securities Corporation, May 2002 to February 2004.
Where is Gregory Stott based?
Gregory Stott’s registered office is in Gilbert, AZ.
Is Gregory Stott registered with FINRA?
No. Gregory Stott has no current broker registration.
How can I verify Gregory Stott’s record?
Search CRD 4518393 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Gregory Stott’s full registration record.