CS
Carl Svahn
RIMROCK CAPITAL MANAGEMENT
Irvine, CA 92617-3040
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CRD#: 7641749
CS
Professional summary
Carl Svahn is a registered financial advisor currently at RIMROCK CAPITAL MANAGEMENT LLC located in Irvine, California and FORESIDE FINANCIAL SERVICES, LLC located in Irvine, California.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Carl has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Carl Svahn'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
December 18, 2025 - Present
RIMROCK CAPITAL MANAGEMENT LLC
Office #1: 100 Innovation Drive Suite 200, Irvine, CA 92617-3040RIA
CRD#: 120410
Irvine, CA
Current
March 29, 2023 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 100 Innovation Drive Suite 200, Irvine, CA 92675BD
CRD#: 148477
Irvine, 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".
RC
RIMROCK CAPITAL MANAGEMENT LLC
RIMROCK CAPITAL MANAGEMENT LLC
CRD#: 120410 / SEC#: 801-65109
RIA
Registered Investment Advisory firm - (1/5/2006 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/24/2024)
RR
Alaska(1/24/2024)
RR
Arizona(1/24/2024)
RR
Arkansas(1/24/2024)
RR
California(1/24/2024)
IAR
California(12/18/2025)
RR
Colorado(1/24/2024)
RR
Connecticut(1/24/2024)
RR
Delaware(1/24/2024)
RR
District of Columbia(1/24/2024)
RR
Florida(1/24/2024)
RR
Georgia(1/24/2024)
RR
Hawaii(1/24/2024)
RR
Idaho(1/24/2024)
RR
Illinois(1/24/2024)
RR
Indiana(1/24/2024)
RR
Iowa(1/24/2024)
RR
Kansas(1/24/2024)
RR
Kentucky(1/24/2024)
RR
Louisiana(1/24/2024)
RR
Maine(1/24/2024)
RR
Maryland(1/24/2024)
RR
Massachusetts(1/24/2024)
RR
Michigan(1/24/2024)
RR
Minnesota(1/24/2024)
RR
Mississippi(1/24/2024)
RR
Missouri(1/24/2024)
RR
Montana(1/24/2024)
RR
Nebraska(1/24/2024)
RR
Nevada(1/24/2024)
RR
New Hampshire(1/24/2024)
RR
New Jersey(1/24/2024)
RR
New Mexico(1/24/2024)
RR
New York(1/24/2024)
RR
North Carolina(1/24/2024)
RR
North Dakota(1/24/2024)
RR
Ohio(1/24/2024)
RR
Oklahoma(1/24/2024)
RR
Oregon(1/24/2024)
RR
Pennsylvania(1/24/2024)
RR
Rhode Island(1/24/2024)
RR
South Carolina(1/24/2024)
RR
South Dakota(1/24/2024)
RR
Tennessee(1/24/2024)
RR
Texas(1/24/2024)
RR
Utah(1/24/2024)
RR
Vermont(1/24/2024)
RR
Virginia(1/24/2024)
RR
Washington(1/24/2024)
RR
West Virginia(1/24/2024)
RR
Wisconsin(1/24/2024)
RR
Wyoming(1/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/28/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RC
RIMROCK CAPITAL MANAGEMENT LLC
RIMROCK CAPITAL MANAGEMENT LLC
CRD#: 120410 / SEC#: 801-65109
RIA
Registered Investment Advisory firm - (1/5/2006 Approved)PREMIUM
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Contact information
Main Address
100 Innovation Drive Suite 200, Irvine, CA 92617-3040
Mailing Address
Phone number
(949) 381-7800
Established
Firm type
Fiscal year end
# of Employees
26
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 22 |
| AUM (Assets Under Management) | $ 3,851,562,308 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
