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100 Innovation Drive Suite 200, Irvine, CA 92617-3040 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APP_PEND_IARCE | 2026-01-01 |
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 |
|---|---|---|---|---|
| Mwam Holdings, Llc | Los Angeles | CA | 02/2007 | 01/2020 |
| Rimrock Capital Management | Irvine | CA | 06/2011 | Present |
| Dlx Financial Group, Llc | San Juan Capistrano | CA | 07/2011 | 12/2019 |
| Foreside Financial Services, Llc | Irvine | CA | 01/2020 | Present |
1) Rimrock Real Estate Ventures; Investment Related; Los Angeles, CA; 5/1/2017; Real Estate Ownership and Financing; Board Member; Board Member; 2 hours per month with 0 during trading hours. 2) Vimvi Real Estate; Not Investment Related; Pasadena, CA; 5/1/2019; Real Estate Brokerage; Board Member; Board Member; 2 hours per month with 0 during trading hours. 3) Rimrock Capital Management, LLC; Investment Related; Irvine, CA; 6/15/2011; SEC Registered RIA; Managing Director; Part Owner - Profits distributed among owners; 160 hours per month with 0 during trading hours. 4) MWAM Holdings, LLC; Not Investment Related; Los Angeles, CA; 8/1/1996; Holding company for Metropolitan West Asset Management; Owner; 0 hours per month with 0 during trading hours. 5) RRDS, LLC; Investment Related; Newport Beach; CA; Real Estate; Managing Member; Start Date 01/2020; 1hr per month with 0 hrs during trading hours 6) Lewis & Clark College; Portland, OR; Investment Related - Yes; Started 5/1/2012; College Endowment; Investment Committee Member; Serve on College Endowment Investment Committee; 1 hour per month with 0 hours during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-06-23 |
| S65 | Uniform Investment Adviser Law Examination | 2013-06-13 |
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