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Current Employers
Rgb Capital Group

San Diego, CA • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-04-15
  • TX RA
    APPROVED
    Since 2024-04-15

Branch Locations

San Diego, CA • United States

1001 S. Capital Of Texas Highway M-100, Austin, TX 78746 • United States

Shadowridge Asset Management, Llc

1001 S. Capital Of Texas Highway M-100, Austin, TX 78746 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2012-05-04
  • TX RA
    APPROVED
    Since 2012-05-04

Branch Locations

1001 S. Capital Of Texas Highway M-100, Austin, TX 78746 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Shadowridge Asset Management, Llc Austin TX 05/2012 Present
Rgb Capital Group Austin TX 04/2024 Present
Previous Registrations
Other Businesses

1) NATIONAL ASSOCIATION OF ACTIVE INVESTMENT MANAGERS; NOT INVESTMENT-RELATED; AUSTIN, TEXAS 78716; BOARD MEMBER; STARTED APRIL 2018; APPROXIMATELY 3 - 5 HOURS/MONTH, ZERO HOURS DURING SECURITIES TRADING HOURS. 2) INDEPENDENT INSURANCE AGENT; STARTED 01/2009; APPROXIMATELY 1% OF TIME SPENT IN THIS BUSINESS; LIFE INS. SALES. 3) WHATSAYYOU RECORDS, LLC; NOT INVESTMENT-RELATED; PO BOX 160061, AUSTIN, TEXAS 78716; MUSIC PUBLISHING & LICENSING; PARTNER; STARTED MARCH 2014; APPROXIMATELY 3 - 5 HOURS PER MONTH (WEEKENDS); ZERO HOURS DURING SECURITIES TRADING HOURS. 4) SHADOWRIDGE CAPITAL, LLC, INVESTMENT RELATED, 1001 S. CAPITAL OF TEXAS HIGHWAY, M-100 AUSTIN, TX 78746, COMMODITY POOL MANAGEMENT, MANAGER/OWNER, NOVEMBER 2021, 10 HOURS/MONTH, 5 HOURS PER MONTH DURING TRADING HOURS, COMPANY MANAGEMENT AND TRADING 5) INTERFAITH ARTS COUNCIL; NOT INVESTMENT-RELATED; AUSTIN, TEXAS 78716; NON-PROFIT; TREASURER; STARTED MAY 2016; APPROXIMATELY 3 - 5 HOURS/MONTH, ZERO HOURS DURING SECURITIES TRADING HOURS. 6) WHACKBAT HOLDINGS, LLC; NOT INVESTMENT-RELATED; PO BOX 160061, AUSTIN, TEXAS 78716; PERSONAL REAL ESTATE HOLDINGS; MEMBER/MANAGER; STARTED JANUARY 2020; APPROXIMATELY 1 HOUR/MONTH, 1 HOUR/MONTH DURING SECURITIES TRADING HOURS. 7) CBR MANAGEMENT CORP; PO BOX 160061, AUSTIN, TX 78716; PRESIDENT; STARTED 3/2000; APPROXIMATELTY 2 HOURS/MONTH. 8) REDFERN MANAGEMENT CORP; CO-OWNER; AUSTIN, TX; STARTED 12/2012. 9) SIX AND ONE, LTD; CO-OWNER; AUSTIN, TX; STARTED 08/2005. 10) AXOS ADVISOR SERVICES; INVESTMENT-RELATED; 7103 S REVERE PARKWAY, CENTENNIAL, CO 80112; CUSTODIAN; CLIENT ADVISORY BOARD; STARTED 06/2024; APPROXIMATELY 4 HOURS PER MONTH, ZERO HOURS DURING SECURITIES HOURS; GIVE FEEDBACK ON AXOS SERVICES AND OFFERINGS, PRODUCT ENHANCEMENTS, AND POSSIBLE NEW PRODUCTS. 11) WHACKBAT AZ LLC; NOT INVESTMENT-RELATED; PRESCOTT, AZ; RENTAL PROPERTY; MANAGER; STARTED 05/2026; APPROXIMATELY 1 HOUR PER MONTH, ZERO HOURS DURING SECURITIES TRADING HOURS; MANAGE RENTAL PROPERTY.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-08
S63 Uniform Securities Agent State Law Examination 2003-04-08
  • S66 Uniform Combined State Law Examination
    2004-12-08
  • S63 Uniform Securities Agent State Law Examination
    2003-04-08
Designations

View on SEC IAPD

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