Isidro Z. Miramontes

MIRAMONTES CAPITAL

Newport Beach, CA 92660

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CRD#: 2670160

Professional summary

Isidro Z Miramontes, who also goes by Sid Miramontes, is a registered financial advisor currently at MIRAMONTES CAPITAL, LLC located in Newport Beach, California and AMERICAN TRUST INVESTMENT SERVICES, INC. located in San Clemente, California.

Isidro is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Isidro has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sid Miramontes

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 Isidro Z Miramontes'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

August 5, 2015 - Present

MIRAMONTES CAPITAL, LLC

Office #1: 4701 Teller Ave, Newport Beach, CA 92660

RIA

CRD#: 264786

Newport Beach, CA

Current

May 10, 2023 - Present

AMERICAN TRUST INVESTMENT SERVICES, INC.

Office #1: 910 S El Camino Real #200, San Clemente, CA 92672

CRD#: 3001

San Clemente, CA

Past

November 17, 2021 - June 6, 2023

SAXONY SECURITIES, INC.

CRD#: 115547

Newport Beach, CA

Past

July 20, 2015 - February 26, 2016

DANIEL WEALTH ADVISORS

RIA

CRD#: 150382

COSTA MESA, CA

Past

July 20, 2015 - November 17, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Newport Beach, CA

Past

February 29, 2008 - July 28, 2015

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BREA, CA

Past

February 29, 2008 - July 28, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BREA, CA

Past

April 2, 2007 - March 10, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BREA, CA

Past

April 2, 2007 - March 10, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

BREA, CA

Past

July 8, 1997 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BREA, CA

Past

November 20, 1995 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

BREA, CA

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".

MIRAMONTES CAPITAL, LLC

CRD#: 264786 / SEC#: 801-110012

RIA

Registered Investment Advisory firm - (3/2/2017 Approved)

California

Registered Investment Advisory firm - (4/6/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/7/2017 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.

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

Arizona
(5/10/2023)

IAR

California
(8/5/2015)

California
(5/10/2023)

Nevada
(5/10/2023)

New Mexico
(5/10/2023)

Tennessee
(5/12/2023)

IAR

Texas
(8/6/2015)

Texas
(5/10/2023)

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: 12/13/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/21/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/6/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/17/1995

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MIRAMONTES CAPITAL, LLC

CRD#: 264786 / SEC#: 801-110012

RIA

Registered Investment Advisory firm - (3/2/2017 Approved)

California

Registered Investment Advisory firm - (4/6/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/7/2017 Terminated)

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Contact information

Main Address

4701 Teller Ave, Newport Beach, CA 92660

Mailing Address

Phone number

+1 (800) 460-1595

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (11/19/2025)

WRAP FEE BROCHURE (11/19/2025)

Regulatory assets under management

Total Number of Accounts	1,245
AUM (Assets Under Management)	$ 296,285,231

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.

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Advisor Monitoring

Firm Stability Insights

Isidro Z. Miramontes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Isidro Z Miramontes's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN TRUST INVESTMENT SERVICES, INC.

SAXONY SECURITIES, INC.

DANIEL WEALTH ADVISORS

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

MIRAMONTES CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/1995

Series 63

Date: 11/21/1995

SIE

Date: 10/1/2018

Series 31

Date: 12/6/1995

Series 7

Date: 11/17/1995

FINRA

Current Firm

MIRAMONTES CAPITAL, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIRAMONTES CAPITAL, LLC

TRUST BUT VERIFY

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