Rincon Securities Group LLC

Broker-DealerFINRA MemberEst. 2020
Total AUM
Advisory reps
3
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 organized as a limited liability company and is registered with the SEC as an investment adviser since 2020. The firm is owned by an individual and is recorded in the dataset with an "Unclassified" adviser type. The profile data indicates Rincon does not act as a capital allocator and is not identified as an active ESG investor, a multi-state adviser, a pension consultant, or a related adviser. The limited reporting in the record — including the absence of client and asset figures — suggests the firm is either dormant, very small, or not currently managing third-party assets at scale.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Contacts

3 of 3
  • Tad Dahlke

    PresidentCRD 2581451

  • Ian Smith

    CCOCRD 6050210

  • Harold Hermelee

    Harold Hermelee

    Senior Managing DirectorCRD 1555279

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

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