Friday, October 23, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
FP Wells Fargo private wealth head taps firm's full capabilities for clientsIN Advisor moves: Raymond James lands $700M Truist team in Naples4K Who Was Supposed to Check the $977?IN Ex-LPL, special needs advisor pleads guilty in fraud case.WM The ADV Debate Is Solving the Wrong ProblemWM Deals & Moves: Commonwealth Breakaway Kintra Lures Team from LPL4K Ubiquity Retirement Wins Inc. Award, Manulife John Hancock Honored for AI Integration, and More: Corporate RoundupWM Truist Names New Wealth Co-Heads in Leadership ShakeupIN American Express to make job cuts as AI revolution ramps upIN SEC’s 2027 exam priorities put RIA conflicts and cyber risks in focus

Adviser and broker representative · Roth Capital Partners, LLC

Jacob E. Frank

CRD 5477225 · Newport Beach, CA

At a glance

Jacob E. Frank is an investment adviser representative with Roth Capital Partners, LLC in Newport Beach, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Jacob’s SEC record dates to 2008, about 18 years ago. Jacob is also registered as a broker representative.

Current advisory firm

  • Roth Capital Partners, LLCSince April 2012Newport Beach, CA · State-registered or not in the SEC’s list

SEC adviser record

Registered since
2008 (18 years)
Designations
None on file
Exams
Series 66
Registered in
1 state
Also a broker representative
Yes
Disclosures on record
None

AtlasMembers

Jacob’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
Locked
Previous firms, with start and end dates
1 firmLocked
Employment history
Locked
States they’re registered in
Locked
Outside business activities
Locked
When they joined their current firm, and their firm’s growth
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.

More at Roth Capital Partners, LLC

Every advisor at Roth Capital Partners, LLC →Financial advisors in Newport Beach, CA →Every Roth Capital Partners, LLC advisor in Newport Beach →Advisor Moves: who changed firms this week →