Richard A. Riva

BALBOA WEALTH PARTNERS

Newport Beach, CA 92660

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CRD#: 2157887

Professional summary

Richard Anthony Riva, CPWA®, who also goes by Richard A Riva, is a registered financial advisor currently at BALBOA WEALTH PARTNERS, INC. located in Newport Beach, California and WILLOW COVE INVESTMENT GROUP, INC. located in Winneconne, Wisconsin.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard A Riva

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Anthony Riva'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®

CPWA^®

Certified Private Wealth Advisor

Experience

Current

May 1, 2024 - Present

BALBOA WEALTH PARTNERS, INC.

Office #1: 1400 Newport Center Drive Suite 290, Newport Beach, CA 92660

RIA

CRD#: 282329

Newport Beach, CA

Current

June 6, 2024 - Present

WILLOW COVE INVESTMENT GROUP, INC.

Office #1: 5887 T Bar Lane, Winneconne, WI 54986

CRD#: 107824

Winneconne, WI

Past

July 6, 2023 - August 28, 2023

CRD#: 6413

NEWPORT BEACH, CA

Past

May 15, 2001 - October 7, 2003

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

NEWPORT BEACH, CA

Past

May 2, 2001 - October 7, 2003

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

November 19, 1993 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

August 30, 1993 - November 19, 1993

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

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".

BALBOA WEALTH PARTNERS, INC.

CRD#: 282329 / SEC#: 801-107029

RIA

Registered Investment Advisory firm - (12/11/2015 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(5/1/2024)

California
(6/6/2024)

Nevada
(6/6/2024)

IAR

Texas
(8/21/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/3/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/8/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/27/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BALBOA WEALTH PARTNERS, INC.

CRD#: 282329 / SEC#: 801-107029

RIA

Registered Investment Advisory firm - (12/11/2015 Approved)

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Contact information

Main Address

6263 North Scottsdale Road Suite 265, Scottsdale, AZ 85250

Mailing Address

Phone number

(949) 445-1465

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (1/7/2026)

FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE (7/18/2025)

Regulatory assets under management

Total Number of Accounts	2,416
AUM (Assets Under Management)	$ 1,035,233,034

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Richard A. Riva

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Anthony Riva's CRS (Customer Relationship Summary).

Certified licenses

Experience

BALBOA WEALTH PARTNERS, INC.

WILLOW COVE INVESTMENT GROUP, INC.

BALANCED SECURITY PLANNING, INC.

WEALTH MANAGEMENT SOLUTIONS, LLC

LPL FINANCIAL LLC

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

MARKETING ONE SECURITIES, INC.

Primary Firm SEC Registration

BALBOA WEALTH PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/3/1998

Series 63

Date: 9/8/1993

SIE

Date: 10/1/2018

Series 7

Date: 8/27/1993

Series 24

Date: 5/6/1997

FINRA

Current Firm

BALBOA WEALTH PARTNERS, INC.

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALBOA WEALTH PARTNERS, INC.

TRUST BUT VERIFY

Contact information

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