DB
Doak R. Belt
NAMCOA
San Diego, CA 92123
Some features on this profile are disabled
CRD#: 2975913
DB
Professional summary
Doak Rauh Belt is a registered financial advisor currently at NAMCOA located in San Diego, California.
Doak is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Doak has worked at 8 firms and has passed the Series 65, Series 63, SIE 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.
Doak R. Belt is a 50% owner and financial advisor of Rockbridge Financial Partners, DBA, which provides comprehensive financial planning, business planning, retirement income planning, and wealth management services to clients. Investment advice and fee for service planning is offered to clients through Naples Asset Management Company, LLC. Insurance products are also offered from time to time during the planning process since July of 2021. Approximately 170 hours per month. Doak R. Belt is a licensed insurance agent. From time to time, he will offer clients advice or products from this activity. Clients should be aware that these services pay a commission and involve a possible conflict of interest as a commissionable product can conflict with fiduciary duties of a registered investment advisor. Naples Asset Management Company, LLC always acts in the best interest of the client, including in the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of Naples Asset Management Company, LLC in their capacity as a licensed insurance agent. Doak R. Belt is a franchise owner and consultant of an expense reduction service for businesses, and he creates strategic partnerships with individuals who have business-owner relationships. This operates under Naples Asset Management Company, LLC. Doak R. Belt is a franchise owner and consultant of an expense reduction service for businesses, and he creates strategic partnerships with individuals who have business-owner relationships. This operates under Windfall Consultants. This formerly operated under Rockbridge Financial Partners, DBA. Doak now owns 50% and his partner, Zachary Higson, owns 50%,owner. Doak does not receive compensation in the form of a upfront fee for these services. He is paid directly from the vendors, which is usually a share of the cash flow they find for the business owner. This is since 12/2022. Approximately 10 hours per month, and this is not investment related. Doak R. Belt is director and CEO and 50% owner of True Concepts Financial Insurances, Inc. This is his personal corporation used for the purpose of operating and managing his business. This has been in place since March of 2011. Approximately four hours per month, not investment related. Approximately four hours per month, not investment related. Doak R. Belt owns and manages rental property under Mountain Pacific Properties, DBA since June of 2004. Approximately two hours a month, not investment related. Associations Doak R. Belt is a member of the National Association of Insurance and Financial Advisors, parentheses N-A-I-F-A. Member from 2001 to present. Currently, he does not hold any board position. Doak R. Belt is associated with Fellowship of Christian Athletes, a non-profit organization. He has joined the board of the San Diego Fellowship of Christian Athletes Club Basketball Team. This is a club sport teaching and training youth on the game of basketball and growth in their Christian Faith. Doak is part of the board which involves the planning and growth of the organization, but he is also taking part in coaching as well as creating awareness and fundraising for FCA club basketball San Diego.
CRS (Client Relationship Summary) - RIA
Click below to view Doak Rauh Belt's 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®
NoneExperience
Current
April 23, 2021 - Present
NAMCOA
Office #1: 5095 Murphy Canyon Road Suite 200, San Diego, CA 92123RIA
CRD#: 133978
San Diego, CA
Past
June 28, 2018 - April 12, 2021
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC
RIA
CRD#: 144069
La Jolla, CA
Past
April 24, 2014 - June 1, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
LA JOLLA, CA
Past
October 1, 2010 - April 15, 2014
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
SAN DIEGO, CA
Past
April 15, 2002 - July 30, 2010
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
SAN DIEGO, CA
Past
January 5, 2001 - April 8, 2002
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
November 29, 2000 - January 5, 2001
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
November 28, 1997 - December 6, 2000
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
NA
NAMCOA
DST INVESTMENTS | ROBIN HANOVER FINANCIAL CONSULTING | NAPLES ASSET MANAGEMENT CO., LLC | NAPLES ASSET MANAGEMENT CO, LLC | NAMCOA | NAMCO BENEFITS | NAMCO AML | NAMCO 401K | NAMCAO | MY ALTS DATA | MCGIBBON ASSET MANAGEMENT | INFINITY FINANCIAL, LLC | INFINITE WEALTH ADVISORS | GREEN VALLEY WEALTH ADVISORS | FLRETIRE.COM | FIRST OREGON | FIRST OF GEORGIA | DST NEWS
CRD#: 133978 / SEC#: 801-66945
RIA
Registered Investment Advisory firm - (7/5/2006 Approved)Florida
Registered Investment Advisory firm - (11/20/2006 Terminated)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(4/23/2021)
IAR
Michigan(1/21/2025)
IAR
Missouri(1/21/2025)
IAR
New Mexico(10/31/2025)
IAR
Oregon(1/23/2025)
IAR
Texas(1/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
NA
NAMCOA
DST INVESTMENTS | ROBIN HANOVER FINANCIAL CONSULTING | NAPLES ASSET MANAGEMENT CO., LLC | NAPLES ASSET MANAGEMENT CO, LLC | NAMCOA | NAMCO BENEFITS | NAMCO AML | NAMCO 401K | NAMCAO | MY ALTS DATA | MCGIBBON ASSET MANAGEMENT | INFINITY FINANCIAL, LLC | INFINITE WEALTH ADVISORS | GREEN VALLEY WEALTH ADVISORS | FLRETIRE.COM | FIRST OREGON | FIRST OF GEORGIA | DST NEWS
CRD#: 133978 / SEC#: 801-66945
RIA
Registered Investment Advisory firm - (7/5/2006 Approved)Florida
Registered Investment Advisory firm - (11/20/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
107 Kilson Drive Suite 206, Mooresville, NC 28117
Mailing Address
999 Vanderbilt Beach Road Suite 200, Naples, FL 34108
Phone number
(239) 593-5525
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 462 |
| AUM (Assets Under Management) | $ 312,332,592 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
