Roland W. Chow

OPTURA ADVISORS

Burlingame, CA 94010

Some features on this profile are disabled

CRD#: 6228711

Professional summary

Roland Wing Chow, who also goes by Wing Chow, is a registered financial advisor currently at OPTURA ADVISORS, INC. located in Burlingame, California.

Roland is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Roland has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wing Chow

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) OPTURA INSURANCE SOLUTIONS - INDEPENDENT INSURANCE AGENT - INVESTMENT RELATED - INSURANCE SALES - 30% OF HIS TIME WITH SOME DURING MARKET HOURS. INDEPENDENT AGENT STARTED IN 04/2014. OPTURA INSURANCE FORMED 05/2019. 2) OPTURA VENTURES, LLC - CONSULTING FOR NEWLY FORMED BUSINESSES, TAX PREP SINCE 2018 - 32 HOURS PER MONTH ON INVESTMENT ACTIVITY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roland Wing Chow'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®

None

Experience

Current

May 13, 2015 - Present

OPTURA ADVISORS, INC.

Office #1: 533 Airport Blvd Suite 400, Burlingame, CA 94010

RIA

CRD#: 175424

Burlingame, CA

Past

January 18, 2022 - April 27, 2023

COMPOUND PLANNING, INC.

RIA

CRD#: 171787

Burlingame, CA

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
(5/13/2015)

IAR

Texas
(4/11/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/3/2014

Uniform Investment Adviser Law Examination

Current Firm

OPTURA ADVISORS, INC.

CHOW, ROLAND WING | THE NAVIGANT GROUP | OPTURA INSURANCE SOLUTIONS | OPTURA ADVISORS, INC. | OPTURA ADVISORS

CRD#: 175424 / SEC#:

California

Registered Investment Advisory firm - (5/13/2015 Approved)

Texas

Registered Investment Advisory firm - (4/11/2024 Conditional Restricted)

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

533 Airport Blvd Suite 400, Burlingame, CA 94010

Mailing Address

Phone number

(415) 968-9269

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	23
AUM (Assets Under Management)	$ 1,156,360

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

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roland W. Chow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roland Wing Chow's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPTURA ADVISORS, INC.

COMPOUND PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/3/2014

Current Firm

OPTURA ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OPTURA ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors