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RB

Richard C. Barrett

STONEBRIDGE CAPITAL MANAGEMENT
LOS ANGELES, CA 90067
Some features on this profile are disabled
CRD#: 4344598
RB

Professional summary

Richard Clark Barrett, who also goes by Dick Barrett, is a registered financial advisor currently at STONEBRIDGE CAPITAL MANAGEMENT INC located in Los Angeles, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Richard has worked at 1 firm .

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dick Barrett

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 Clark Barrett'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

July 8, 1997 - Present

STONEBRIDGE CAPITAL MANAGEMENT INC

Office #1: 1801 Century Park East Suite 1800, Los Angeles, CA 90067
RIA
CRD#: 106073
LOS ANGELES, 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".
SC
STONEBRIDGE CAPITAL MANAGEMENT INC
STONEBRIDGE CAPITAL MANAGEMENT INC

CRD#: 106073 / SEC#: 801-5363

RIA
Registered Investment Advisory firm - (1/6/1969 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
(7/8/1997)

Exams

Current Firm

SC
STONEBRIDGE CAPITAL MANAGEMENT INC
STONEBRIDGE CAPITAL MANAGEMENT INC

CRD#: 106073 / SEC#: 801-5363

RIA
Registered Investment Advisory firm - (1/6/1969 Approved)
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Contact information

Main Address
1801 Century Park East Suite 1800, Los Angeles, CA 90067
Mailing Address
Phone number
(310) 277-1450
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

STONEBRIDGE CAPITAL MANAGEMENT, INC. (4/1/2025)

Regulatory assets under management

Total Number of Accounts251
AUM (Assets Under Management)$ 311,431,007

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.

Company Information

STONEBRIDGE CAPITAL MANAGEMENT INC

CRD#: 106073Los Angeles, CA 90067

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