Richard B. Brydges

BALBOA WEALTH PARTNERS

Newport Beach, CA 92660

Some features on this profile are disabled

CRD#: 2719756

Professional summary

Richard Brooks Brydges, who also goes by Richard Brooks Brydges, is a registered financial advisor currently at BALBOA WEALTH PARTNERS, INC. located in Newport Beach, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Richard has worked at 16 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Brooks Brydges

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) Compass Realty, Carlsbad, CA; Not Investment related; Retail Residential Real Estate; Position: Referring Agent; Start Date: 11/2020, Hours per month: 10 outside of securities trading hours. 2) Balboa Wealth Partners, Inc./Nautical Wealth Management, DBA; Encinitas, CA; Investment advisory; Start date: 01/2018; Position: Investment Adviser Representative/CIO, Portfolio Manager, Nautical Wealth; Hours per month: 80 during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Brooks Brydges'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

December 4, 2017 - Present

BALBOA WEALTH PARTNERS, INC.

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

RIA

CRD#: 282329

Newport Beach, CA

Past

June 21, 2019 - June 24, 2019

WORLD INVESTMENT ADVISORS, LLC

RIA

CRD#: 208512

Solana Beach, CA

Past

July 11, 2018 - October 23, 2018

D.H. HILL SECURITIES, LLLP

CRD#: 41528

KINGWOOD, TX

Past

July 26, 2017 - June 12, 2018

SGMA CAPITAL MARKETS LIMITED

CRD#: 135327

NEW YORK, NY

Past

August 12, 2016 - December 27, 2016

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856

CARLSBAD, CA

Past

August 19, 2015 - May 5, 2016

CABIN SECURITIES, INC.

CRD#: 137608

Encinitas, CA

Past

January 28, 2015 - December 4, 2017

DANIEL WEALTH ADVISORS

RIA

CRD#: 150382

ENCINITAS, CA

Past

June 5, 2014 - June 30, 2015

ACCELERATED CAPITAL GROUP

CRD#: 41270

Encinitas, CA

Past

June 27, 2013 - December 31, 2014

DANIEL WEALTH ADVISORS

RIA

CRD#: 150382

ENCINITAS, CA

Past

September 28, 2010 - April 16, 2012

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

SAN FRANCISCO, CA

Past

June 4, 2010 - September 30, 2010

FIRST REPUBLIC WEALTH ADVISORS, LLC

RIA

CRD#: 132035

SAN FRANCISCO, CA

Past

June 4, 2010 - April 16, 2012

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

SAN DIEGO, CA

Past

June 1, 2009 - June 21, 2010

MORGAN STANLEY

RIA

CRD#: 149777

LA JOLLA, CA

Past

June 1, 2009 - June 21, 2010

MORGAN STANLEY

CRD#: 149777

LA JOLLA, CA

Past

January 6, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN DIEGO, CA

Past

January 6, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN DIEGO, CA

Past

April 12, 1999 - January 9, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN DIEGO, CA

Past

March 11, 1999 - January 9, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 12, 1997 - March 9, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 12, 1996 - May 21, 1997

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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.

Highlighted states indicate IAR registrations

IAR

California
(12/4/2017)

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 66

Date: 9/22/2014

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/2/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/1996

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: 2/13/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/3/1996

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 3/11/1996

Municipal Securities Representative Examination

Current Firm

BALBOA WEALTH PARTNERS, INC.

CRD#: 282329 / SEC#: 801-107029

RIA

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

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

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 (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

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

FORM ADV PART 2A (7/18/2025)

Regulatory assets under management

Total Number of Accounts	2,068
AUM (Assets Under Management)	$ 804,833,455

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

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

Michael Jensen

FALCON WEALTH PLANNING, INC.

IAR

Irvine, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard B. Brydges

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Brooks Brydges's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORLD INVESTMENT ADVISORS, LLC

D.H. HILL SECURITIES, LLLP

SGMA CAPITAL MARKETS LIMITED

ARETE WEALTH MANAGEMENT, LLC

CABIN SECURITIES, INC.

DANIEL WEALTH ADVISORS

ACCELERATED CAPITAL GROUP

DANIEL WEALTH ADVISORS

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC WEALTH ADVISORS, LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

BALBOA WEALTH PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/22/2014

Series 65

Date: 7/2/1997

Series 63

Date: 3/26/1996

SIE

Date: 10/1/2018

Series 31

Date: 2/13/2002

Series 7

Date: 7/3/1996

Series 52

Date: 3/11/1996

Current Firm

BALBOA WEALTH PARTNERS, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALBOA WEALTH PARTNERS, INC.

TRUST BUT VERIFY

Similar Advisors