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100 Innovation Drive Suite 200, Irvine, CA 92617-3040 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2006-05-10 |
Branch Locations
100 Innovation Drive Suite 200, Irvine, CA 92617-3040 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rimrock Capital Management Llc | San Juan Capistrano | CA | 07/2004 | Present |
| Foreside Financial Services, Llc | Irvine | CA | 01/2020 | Present |
1) Rimrock Capital Management LLC; Irvine, CA; Investment Related; Investment Management; Start Date 7/1/2004; Managing Director; Responsible for the overall management of the business, as well as the strategic development, marketing and investor relations efforts of the firm; 160 Hours Per Month; 0 hours during securities trading hours. 2) Orange County Community Foundation; Newport Beach, CA; Not Investment Related; Community Foundation; Start Date 7/1/2019; Board of Governors; Member of the Board of Governors overseeing the strategic plan for a community foundation; 5 Hours per month; 0 Hours during securities trading hours. 3) Baker Street Advisors, LLC; Not Investment Related; San Francisco, CA; Wealth Manager; Advisory Board; 2/21 Start Date; 1 hour per month; 0 during trading hours. Volunteer Advisory Board that discusses broad asset class issues.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2015-03-09 |
| S65 | Uniform Investment Adviser Law Examination | 2006-05-09 |
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