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Thomas Alan Hoffman

RBA Wealth Management, LLC

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About Thomas Alan Hoffman

Thomas Hoffman is a financial advisor at RBA Wealth Management, LLC. Thomas is registered with FINRA as a Registered Representative and as an Investment Advisor Representative. Thomas has been in the financial services industry since 1981. Thomas holds a Series 3, Series 7, Series 31, and Series 66 license and is a licensed investment advisor in California. RBA Wealth Management, LLC is a Registered Investment Advisor.

Firm Information

Thomas Hoffman is currently registered with RBA Wealth Management, LLC. RBA Wealth Management, LLC is a registered investment advisor based in NEWPORT BEACH, CA. They provide financial planning, pension consulting, portfolio management for businesses and individuals. The firm manages approximately $356,087,862 in assets for 1,095 clients, including high-net-worth individuals, charitable organizations, pension and profit-sharing plans, and individuals other than high-net-worth.
RBA Wealth Management, LLC

520 NEWPORT CENTER DRIVE

NEWPORT BEACH, CA 92660

$356.09M

Assets Under Management

2

Total Clients

2

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas Hoffman’s Registration & Firm History

CA

11/01/2019 - Present

RBA Wealth Management, LLC (Newport Beach CA)

CA

08/27/2010 - 11/06/2017

MORGAN STANLEY (NEWPORT BEACH CA)

CA

12/06/1988 - 09/07/2010

LPL FINANCIAL CORPORATION (IRVINE CA)

NY

06/09/1987 - 01/01/1989

SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)

NA

07/28/1981 - 06/12/1987

E. F. HUTTON & COMPANY INC

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Licenses & Designations

BOTH

Issued 04/12/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/16/1981

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/26/2004

Series 31 - Futures Managed Funds Examination

BC

Issued 07/08/1986

Series 3 - National Commodity Futures Examination

BC

Issued 06/20/1981

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Alan Hoffman.
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