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 operating in Scottsdale, Arizona with a total of 2 years of relevant experience. Rock currently works for Balboa Wealth Partners, Inc. Throughout their career, Rock has worked 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. Rock holds Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and is able to advise clients in California. Balboa Wealth Partners, Inc is a financial advisory business based out of Scottsdale, AZ. The company has offices in 10 locations and a total of 30 people on staff. It has $469 million in total assets across its 1,684 customer accounts, placing it among the bigger firms in the nation by assets under management. Of its 1,684 customer accounts, 16% are held by high-net-worth clients who have at least $1 million in investable assets. Balboa Wealth Partners, Inc has a diverse set of services, including financial planning services, portfolio management for individuals and small businesses, pension consulting services and selection of other advisers. Fees charged by financial advisors typically are based on which services the firm provides the client. However, fee types billed by Balboa Wealth Partners, Inc can include any combination of asset-based and hourly fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

2 years

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

$469,070,563

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

30

AZ Average: 37
Total Number of Accounts

1,684

AZ Average: 1,370
Average Account Size

$278,545

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

Richard has been registered as a financial advisor for 2 years.*

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

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

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

Enedina Grijalva
Scottsdale, AZ
Richard Brydges
La Jolla, CA
Ian Crawford
Scottsdale, AZ
John Vilina
Mission Viejo, CA
Jeremy Tate
Newport Beach, CA
Jake Frankel
Brooklyn, NY
Kozen Tsukamoto
Scottsdale, AZ
Rodolfo Rodriguez
San Diego, CA

The content in this profile was updated by SmartAsset on 4/16/2023. 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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