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JW

John D. Wolfe

RBA WEALTH MANAGEMENT
NEWPORT BEACH, CA 92660
Some features on this profile are disabled
CRD#: 8119775
JW
John David WolfeRBA WEALTH MANAGEMENT

Professional summary

John David Wolfe is a registered financial advisor currently at RBA WEALTH MANAGEMENT, LLC located in Newport Beach, California and PURSHE KAPLAN STERLING INVESTMENTS located in Newport Beach, California.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2026. John has worked at 2 firms and has passed the Series 66, SIE and Series 7TO exams.

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) RBA Wealth Management LLC. Investment Related; At Registered Location; RIA; Financial Advisor; Start Date: 06/2025; 160 hrs/mo; all during trading hours; Provide advice to clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Wolfe'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 16, 2026 - Present

RBA WEALTH MANAGEMENT, LLC

Office #1: 520 Newport Center Drive Suite 740, Newport Beach, CA 92660
RIA
CRD#: 291029
NEWPORT BEACH, CA
Current

May 12, 2026 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 520 Newport Center Drive Suite 740, Newport Beach, CA 92660
BD
CRD#: 35747
Newport Beach, 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".
RW
RBA WEALTH MANAGEMENT, LLC
RBA WEALTH MANAGEMENT, LLC | RHETT ADVISORS, LLC

CRD#: 291029 / SEC#: 801-112189

RIA
Registered Investment Advisory firm - (12/20/2017 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
California
(5/12/2026)
IAR
California
(7/16/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/8/2026
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/7/2026
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/28/2026
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RW
RBA WEALTH MANAGEMENT, LLC
RBA WEALTH MANAGEMENT, LLC | RHETT ADVISORS, LLC

CRD#: 291029 / SEC#: 801-112189

RIA
Registered Investment Advisory firm - (12/20/2017 Approved)
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Contact information

Main Address
520 Newport Center Drive Suite 740, Newport Beach, CA 92660
Mailing Address
Phone number
(949) 945-2104
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR RBA WEALTH MANAGEMENT, LLC (3/4/2026)

Regulatory assets under management

Total Number of Accounts1,170
AUM (Assets Under Management)$ 452,114,214

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

RBA WEALTH MANAGEMENT, LLC

CRD#: 291029Newport Beach, CA 92660

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