Beth Van Rood

BROXTON CAPITAL ADVISORS

Los Angeles, CA 90036

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CRD#: 7252733

Professional summary

Beth Van Rood is a registered financial advisor currently at BROXTON CAPITAL ADVISORS located in Los Angeles, California.

Beth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Beth has worked at 3 firms and has passed the Series 65 exam.

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.

1) Self-employed web marketing professional 2) IAR HK Wealth Mgmt 3)Broxton Capital; IAR; Investment related: Yes; 5670 Wilshire Bl #1800 Los Angeles CA 90036 US; RIA; Duties: Investment Advisor; 2020-05-01; Hours per month devoted to business during trading hours: 1; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 5; 4) Marketing Professional, 10/2021- Doozy Cards LLC, Not investment related, Pasadena, CA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Beth Van Rood'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

October 4, 2021 - Present

BROXTON CAPITAL ADVISORS

Office #1: 5670 Wilshire Blvd Suite 1800, Los Angeles, CA 90036

RIA

CRD#: 136914

Los Angeles, CA

Past

December 5, 2022 - January 20, 2024

IAS CAPITAL MANAGEMENT INC.

RIA

CRD#: 324089

PASADENA, CA

Past

July 23, 2021 - November 18, 2022

OMNIA CAPITAL MANAGEMENT, INC.

RIA

CRD#: 151504

BLYTHE, 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
(10/4/2021)

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: 7/23/2021

Uniform Investment Adviser Law Examination

Current Firm

BROXTON CAPITAL ADVISORS

BROXTON CAPITAL ADVISORS | WESTWOOD ASSET MANAGEMENT, LLC | COOKE, ROOT & STEAD ASSET MANAGEMENT, LLC | BROXTON CAPITAL ADVISORS LLC

CRD#: 136914 / SEC#: 801-64689

RIA

Registered Investment Advisory firm - (8/28/2012 Terminated)

Arizona

Registered Investment Advisory firm - (11/19/2021 Terminated)

California

Registered Investment Advisory firm - (6/15/2012 Approved)

Puerto Rico

Registered Investment Advisory firm - (11/5/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

151 Calle De San Francisco Suite 200, Old San Juan, PR 00901-1659

Mailing Address

Phone number

(310) 208-2151

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	106
AUM (Assets Under Management)	$ 30,739,954

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.

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Beth Van Rood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Beth Van Rood's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROXTON CAPITAL ADVISORS

IAS CAPITAL MANAGEMENT INC.

OMNIA CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/2021

Current Firm

BROXTON CAPITAL ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BROXTON CAPITAL ADVISORS

TRUST BUT VERIFY

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