Audrey E. Grubman
NORTHROCK PARTNERS
BERKELEY, CA 94704
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CRD#: 2766919
Professional summary
Audrey Ellen Grubman, CFP®, who also goes by Audrey Grubman, is a registered financial advisor currently at NORTHROCK PARTNERS, LLC located in Berkeley, California.
Audrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Audrey has worked at 2 firms and has passed the Series 2 exam.
Biography
Audrey is an equity owner of the firm and responsible for the firm’s overall management; in particular, its financial planning and tax consulting services. Audrey has over twenty years of experience in wealth management, advising clients on their investments, financial plans and tax strategies.
Audrey began her predecessor firm, Grubman Wealth Management in 1996 and merged it with Parkside Capital Advisors in 2018 to establish Parkside Advisors LLC. Audrey’s previous professional experience includes product development and software management. In the early 1990’s, she offered stock option planning to employees of PeopleSoft, an early leader in human resources, financial, and enterprise management software. Over the subsequent decades, her firm grew into a full-service firm offering clients an integrated service of financial planning, investment management and tax planning.
Audrey is a CFP® professional. She studied Physics at MIT, leaving in her senior year to pursue professional opportunities. She received her Certificate in Personal Financial Planning with Distinction from the University of California, Berkeley Extension School and is a member of the Financial Planning Association and the East Bay Planning Council.
Question & Answer
What are your service offerings?
Investment Planning
Employee and Employer Plan Ben...
Tax Planning
Estate Planning
Education Planning
Retirement Planning
Comprehensive Financial Planni...
Insurance Planning
Do you have an area of expertise or specialization?
Business Owners
High Net Worth Client Needs
Investment Advice with Ongoing...
LGBT Couples and Families
Tax Planning
Women's Financial Planning Iss...
Are you a "fiduciary"?
Yes
Aliases
Audrey Grubman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Audrey Ellen Grubman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2001
Experience
Current
July 1, 2025 - Present
NORTHROCK PARTNERS, LLC
Office #1: 2040 Bancroft Way, Suite 300, Berkeley, CA 94704RIA
CRD#: 167908
BERKELEY, CA
Past
October 18, 1996 - July 17, 2025
PARKSIDE ADVISORS LLC
RIA
CRD#: 125553
SAN FRANCISCO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NORTHROCK PARTNERS, LLC
3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT
CRD#: 167908 / SEC#: 801-78194
RIA
Registered Investment Advisory firm - (6/13/2013 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(7/1/2025)
IAR
Illinois(7/1/2025)
IAR
Wisconsin(7/1/2025)
Exams
General Industry/Product Exam
RR
Series 2
Date: 5/24/1996
Non-Member General Securities ExaminationCurrent Firm
NORTHROCK PARTNERS, LLC
3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT
CRD#: 167908 / SEC#: 801-78194
RIA
Registered Investment Advisory firm - (6/13/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
225 South Sixth Street Suite 1400, Minneapolis, MN 55402
Mailing Address
Phone number
(612) 367-8800
Established
Firm type
Fiscal year end
# of Employees
161
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,834 |
| AUM (Assets Under Management) | $ 6,596,242,797 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 11/05/2024 | ||
| 01/29/2024 |
Red Flags
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Company Information
NORTHROCK PARTNERS, LLC
CRD#: 167908Berkeley, CA 94704TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
