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 an SEC-registered limited liability company that first registered with the SEC in 2020 and is owned by an individual. The firm is listed as unclassified in the available data and is not identified as a capital allocator. Public records indicate it does not position itself as an active ESG investor, is not registered as a multi-state adviser, and is not described as a pension consultant or related adviser. The firm has not provided public detail on its advisory activities, investment strategy, client types, fee structure, or other business activities. FINTRX and related records likewise do not disclose any manager allocation preferences, portfolio construction approach, or specific asset classes the firm emphasizes. Available entries show minimal public footprint: there is no reported AUM or client information disclosed in the profile. Because the firm has offered limited public disclosures, third-party research or direct contact would be required to learn about its service model, target clients, and how it implements investments.

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 4
  • TAD DAHLKE

    PresidentCRD 2581451

  • IAN SMITH

    CCOCRD 6050210

  • SUSAN SLOAT

    Sales AssistantCRD 2235716

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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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