Scott Arwin has been Manager, Chief Compliance Officer of Ring Mountain Capital since May 2017, is a control person of the firm and directly owns 75% or more of it. Scott Arwin holds a B.S in Business Administration from the University of Florida.
Ring Mountain Capital, LLC is a Tiburon, CA firm with $222M under management, 429 clients and 1 adviser in one office, as of its June 2026 filing.
Scott Arwin is Founder, Chief investment Officer of Ring Mountain Capital, based in Tiburon, CA. He is responsible for advising clients, devising and implementing an investment plan, and reviewing investments continually. Before founding the firm, he was with UBS Financial Services for over 20 years, and earlier worked at the investment bank Robertson, Stephens & Company in San Francisco.
Scott Arwin’s longest registration was 19 years at UBS Financial Services Inc. (1997–2017). Before joining Ring Mountain Capital in 2017, Scott Arwin was registered through Northwest Asset Management and UBS Financial Services Inc.
- Ring Mountain Capital, LLCCurrent– present · 9 yearsTiburon, CA · Adviser representative · Firm CRD 288714
- Northwest Asset Management– · under a yearMill Valley, CA · Adviser representative · Firm CRD 147923
- UBS Financial Services Inc.– · 19 yearsSan Francisco, CA · Adviser representative · Firm CRD 8174
Professional designations
Listed by Ring Mountain Capital
- CFA®
Investment adviser representative registrations
Scott Arwin is registered as an investment adviser representative in 2 states. The first approvals date from September 2017; the most recent is Texas, in April 2024.
- CaliforniaSince 18 September 2017
- TexasSince 29 April 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 7 September 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 November 1993 |
| Series 7 | General Securities Representative Examination | 18 October 1993 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Scott Richard Arwin
- CRD
- 2370692
- Firm
- Ring Mountain Capital · CRD 288714
- Role
- Manager, Chief Compliance Officer
- Office
- 1610 TIBURON BLVD., SUITE 200, Tiburon, CA 94920
- Registration
- Investment adviser registration
- In the industry since
- December 1993
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- ringmountaincapital.com
Where does Scott Arwin work?
Scott Arwin has been Manager, Chief Compliance Officer of Ring Mountain Capital, LLC since May 2017, and is a control person of the firm.
Is Scott Arwin a financial advisor?
Yes. Scott Arwin has a current investment-adviser registration in California and Texas, through Ring Mountain Capital since September 2017.
How many years of experience does Scott Arwin have?
Scott Arwin has 32 years in the financial industry, since December 1993, across 3 adviser firms.
What exams has Scott Arwin passed?
Scott Arwin has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in October 1993. FINRA credited Scott Arwin with the SIE, which began in October 2018.
Where did Scott Arwin work before Ring Mountain Capital?
Before Ring Mountain Capital, Scott Arwin was registered through UBS Financial Services Inc., July 1997 to April 2017.
Where is Scott Arwin based?
Scott Arwin’s registered office is in Tiburon, CA.
Is Scott Arwin registered with FINRA?
No. Scott Arwin has no current broker registration.
Is Scott Arwin a CFA charterholder?
Ring Mountain Capital lists Scott Arwin with the CFA credential (“CFA®”) on its website. CFA Institute confirms certification status.
How can I verify Scott Arwin’s record?
Search CRD 2370692 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Scott Arwin’s full registration record.