Rincon Securities Group LLC

Broker-DealerFINRA MemberEst. 2020
Total AUM
Advisory reps
4
Avg account
$0

Firm details

Headquarters
Westlake Village, California
CRD number
305718
Registered since
June 23, 2020

Firm profile

FINTRX

Overview

Rincon Securities Group LLC is a limited liability company that registered with the SEC in 2020 and is owned by an individual proprietor. Public filings classify the firm as unclassified and indicate it does not act as a capital allocator. The registry data also flags that the firm is not identified as an active ESG investor, is not designated a multi-state adviser, is not listed as a newly formed adviser, and does not serve as a pension consultant or related adviser. The firm has provided minimal detail about its business lines, client types, fee schedule, or advisory activities in available records. There are no disclosed affiliations, industry awards, or stated investment focuses in the public snapshot.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Contacts

3 of 4
  • Tad Dahlke

    PresidentCRD 2581451

  • Ian Smith

    CCOCRD 6050210

  • Susan Sloat

    Susan Sloat

    Sales AssistantCRD 2235716

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

Westlake Village, CA

Ventura

Location

Westlake Village, CA

Headquartered in Westlake Village, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.

Metro area
Los Angeles-Long Beach, CA
Region
West
County
Ventura
Address
3027 Townsgate Rd
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth