Robert C. Ruiz

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CRD#: 7243758

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Charles Ruiz, who also goes by Robert Ruiz, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2020. Robert had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Robert Ruiz

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.

President of Spectrum Innovations/Spectrum Auto Innovations, Inc.(started 11/1997) /Dealers Direct U.S.A. Inc. (started 1/2016) These companies provide digital marketing and advertising services for the auto industry and are not investment-related. Both are full time activities and are located at 1920 E. Warner Ave Ste 3A, Santa Ana, CA 92705.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 2, 2020 - January 16, 2024

PRIVATE MANAGEMENT GROUP INC

RIA

CRD#: 104707

Santa Ana, 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".

PRIVATE MANAGEMENT GROUP INC

CRD#: 104707 / SEC#: 801-28023

RIA

Registered Investment Advisory firm - (9/26/1986 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Current Firm

PRIVATE MANAGEMENT GROUP INC

CRD#: 104707 / SEC#: 801-28023

RIA

Registered Investment Advisory firm - (9/26/1986 Approved)

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Contact information

Main Address

15635 Alton Parkway Suite 400, Irvine, CA 92618

Mailing Address

Phone number

(949) 752-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND 2B (3/20/2025)

Regulatory assets under management

Total Number of Accounts	6,784
AUM (Assets Under Management)	$ 4,515,879,208

Red Flags

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Robert C. Ruiz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRIVATE MANAGEMENT GROUP INC

Primary Firm SEC Registration

PRIVATE MANAGEMENT GROUP INC

State Registrations and Notice Filings

Exams

Current Firm

PRIVATE MANAGEMENT GROUP INC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRIVATE MANAGEMENT GROUP INC

TRUST BUT VERIFY

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