Ralph W. Hicks

OAKMONT ADVISORY GROUP

Albuquerque, NM 87110-4939

Some features on this profile are disabled

CRD#: 1500855

Professional summary

Ralph William Hicks JR is a registered financial advisor currently at OAKMONT ADVISORY GROUP, LLC located in Albuquerque, New Mexico.

Ralph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Ralph has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) OAKMONT INSURANCE, LLC (JANUARY 2005-PRESENT)- MANAGING MEMBER - FORMED THE LLC AS A MEANS OF LIABILITY PROTECTION AND ADDTIONAL TAX FLEXIBILITY; FORMALLY ASSOCIATED WITH DIVERSIFIED FINANCIAL - OWNER, INSURANCE AGENCY, INSURANCE SALES OF ACCIDENT, HEALTH, AND LIFE (JANUARY 2005 - JULY 2010); 2) LOWKEY HOLDINGS, LLC; INVESTMENT RELATED: NO; LOCATION: 2001 CARLISLE BLVD NE, ALBUQUERQUE, NM 87110; DESCRIPTION: REAL ESTATE HOLDING COMPANY.; POSITION TITLE: OWNER; RESPONSIBILITIES DUTIES: MANAGEMENT OF REAL ESTATE PROPERTY; START DATE: 2019-02-11; HOURS DEVOTED DURING TRADING HOURS: 0; HOURS DEVOTED OUTSIDE TRADING HOURS: 1.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph William Hicks JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 3, 2011 - Present

OAKMONT ADVISORY GROUP, LLC

Office #1: 2001 Carlisle Blvd Ne Suite D, Albuquerque, NM 87110-4939

RIA

CRD#: 158890

Albuquerque, NM

Past

September 2, 2008 - November 1, 2011

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

ALBUQUERQUE, NM

Past

February 7, 2005 - October 31, 2006

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

ALBUQUERQUE, NM

Past

July 12, 2001 - January 24, 2005

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

June 7, 1993 - July 3, 2001

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

August 26, 1986 - June 7, 1993

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OAKMONT ADVISORY GROUP, LLC

HICKS ADVISORY GROUP, LLC | OAKMONT ADVISORY GROUP, LLC

CRD#: 158890 / SEC#: 801-128685

RIA

Registered Investment Advisory firm - (9/1/2023 Approved)

New Mexico

Registered Investment Advisory firm - (9/21/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Mexico
(11/3/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/23/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/30/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/11/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/22/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

OAKMONT ADVISORY GROUP, LLC

HICKS ADVISORY GROUP, LLC | OAKMONT ADVISORY GROUP, LLC

CRD#: 158890 / SEC#: 801-128685

RIA

Registered Investment Advisory firm - (9/1/2023 Approved)

New Mexico

Registered Investment Advisory firm - (9/21/2023 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2001 Carlisle Blvd Ne Suite D, Albuquerque, NM 87110-4939

Mailing Address

Phone number

(505) 821-6966

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A & 2B (10/15/2025)

Regulatory assets under management

Total Number of Accounts	491
AUM (Assets Under Management)	$ 127,368,862

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Kimberly Taylor

THE WEALTH CONSULTING GROUP

IAR

Albuquerque, NM

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ralph W. Hicks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph William Hicks JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST HEARTLAND CAPITAL, INC.

FIRST HEARTLAND CAPITAL, INC.

NEW ENGLAND SECURITIES

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

Primary Firm SEC Registration

OAKMONT ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/1998

Series 63

Date: 1/30/1987

Series 7

Date: 10/11/1999

Series 6

Date: 8/22/1986

Current Firm

OAKMONT ADVISORY GROUP, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAKMONT ADVISORY GROUP, LLC

TRUST BUT VERIFY

Similar Advisors