Richard
Rock

Balboa Wealth Partners, Inc

CRD#2779692
Investment Advisor
in Scottsdale, AZ

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About this Advisor

Richard Rock is a financial advisor based in Scottsdale, Arizona, working with Balboa Wealth Partners, Inc. Richard has previously held positions at Citigroup Global Markets Inc, Morgan Stanley Smith Barney, Morgan Stanley Private Bank, National Association, Balboa Wealth Partners Inc, and Morgan Stanley Private Bank, N.A. Richard has passed the Series 63 and Series 65 regulatory exams and is registered to provide services in California. Currently, Richard is part of Balboa Wealth Partners, Inc, which operates out of Scottsdale, Arizona. The firm has 9 offices and 28 employees. The firm manages assets totaling $661.0 million and serves high-net-worth clients. The services offered by the firm include financial planning services, portfolio management for individuals and small businesses, pension consulting services, and selection of other advisers. The fee structure at Balboa Wealth Partners, Inc includes asset-based and hourly fees.

Certifications and Registrations

Series 63, Series 65

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers

Fee Structure

Percentage of Assets, Hourly Charges, Subscription Fees

Office Location

6263 North Scottsdale Road Suite 265
Scottsdale, AZ 85250

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Balboa Wealth Partners, Inc Brokerage Details

Total Assets Under Management

$660,981,442

AZ Average: $1,555,372,352
Total Number of Employees

28

AZ Average: 37
Total Number of Accounts

1,851

AZ Average: 1,370
Average Account Size

$357,094

AZ Average: $1,135,308

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers

Richard Rock Work History

2021 - Present (3 years)

Balboa Wealth Partners Inc

2015 - Present (9 years)

Morgan Stanley Private Bank, N.A

2015 - 2021 (6 years)

Morgan Stanley Private Bank, National Association

2009 - 2021 (12 years)

Morgan Stanley Smith Barney

2001 - 2021 (20 years)

Citigroup Global Markets Inc

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Disclosures

Please visit the SEC profile of Richard Rock to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Balboa Wealth Partners, Inc

Andrew Ornoski
Peoria, AZ
Rodolfo Rodriguez
San Diego, CA
John Robison
Scottsdale, AZ
Jeffrey Gilbert
Palm Desert, CA
Jeremy Tate
Newport Beach, CA
John Appleby
Scottsdale, AZ
Enedina Grijalva
Scottsdale, AZ
Richard Brydges
La Jolla, CA

The content in this profile was updated by SmartAsset on 6/19/2024. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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