Ring Mountain Capital provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers. Financial planning was provided to 1–10 clients last fiscal year.
Ring Mountain Capital reports 429 clients. They include 375 individual clients, 51 high-net-worth individuals, and 2 corporations and other businesses. Of its assets, 99.9% ($222M across 1,056 accounts) are managed with discretion; $323K across 3 accounts are not. It advised 1 client without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 87% | 43% |
| High-net-worth individuals | 12% | 56% |
| Pension and profit-sharing plans | <1% | <1% |
| Corporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 375 | $95.2M | 42.9% | $254K |
| High-net-worth individuals | 51 | $125M | 56.3% | $2.45M |
| Pension and profit-sharing plans | Fewer than 5 | $321K | 0.1% | $321K |
| Corporations and other businesses | Fewer than 5 | $1.59M | 0.7% | $796K |
| Total | 429 | $222M | 100% | — |
- Clients
- 375
- Regulatory AUM
- $95.2M
- AUM share
- 42.9%
- Avg. per client
- $254K
- Clients
- 51
- Regulatory AUM
- $125M
- AUM share
- 56.3%
- Avg. per client
- $2.45M
- Clients
- Fewer than 5
- Regulatory AUM
- $321K
- AUM share
- 0.1%
- Avg. per client
- $321K
- Clients
- Fewer than 5
- Regulatory AUM
- $1.59M
- AUM share
- 0.7%
- Avg. per client
- $796K
Total
- Clients
- 429
- Regulatory AUM
- $222M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 1
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Ring Mountain Capital charges 1.00%–1.50% a year for its Portfolio Management Services. The fee is billed in advance and is negotiable. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning, Fixed Fees
- Financial plans cost between $1,500 and $7,500, negotiable and set in the Financial Planning Agreement.
- Financial Planning, Hourly
- Hourly financial planning services are billed at $1,250 per hour, negotiable.
Scott Arwin owns 75% or more of Ring Mountain Capital. The leadership team of Ring Mountain Capital includes Chief Compliance Officer Scott Arwin. It has 1 employee.
Leadership
Scott ArwinManager, Chief Compliance Officer
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
Staff
- 1 employee
- 1 in advisory functions
- 1 state-registered rep
- Owns 75% or more of Ring Mountain Capital, LLC
Scott Arwin
Control person · since May 2017
Ring Mountain Capital’s regulatory assets grew 1.6× from $138M (May 2024) to $222M (June 2026); clients rose from 343 to 429 and employees were 1 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| June 2026 | $222M | 429 | 1 | 1 |
| March 2025 | $186M | 371 | 1 | 1 |
| May 2024 | $138M | 343 | 1 | 1 |
Besides its headquarters, Ring Mountain Capital has 0 offices, with 1 listed address in California.
California · 1 listed address
- 1610 Tiburon BLVD., Suite 200, TiburonHQ
Contact and registration details
- Legal name
- Ring Mountain Capital, LLC
- Headquarters
- 1610 Tiburon BLVD., Suite 200, Tiburon, CA 94920
- Website
- ringmountaincapital.com
- Phone
- 415-350-1355
- SEC file
- 801-130089
- Structure
- Delaware LLC
- Fiscal year end
- December
Ring Mountain Capital uses Charles Schwab ($222M) as custodian for its separately managed accounts. Ring Mountain Capital does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $222M100%
At year end, Ring Mountain Capital’s separately managed accounts were mostly in stocks (53%) and funds (43%). Its reported 13F holdings for the quarter ended 30 June 2026 total $238M across 107 positions; the largest are Apple Inc. (10.1%), Vaneck ETF Trust (10.1%) and Schwab Strategic TR (5.3%).
What the accounts hold
- Stocks53%
- Funds43%
- Cash4%
Reported 13F holdings
- $238M
- Reported 13F value
- 107
- Positions
- 55.8%
- In the 10 largest
- +130231.2%
- Value vs. prior quarter
- Apple Inc.10.1%
- Vaneck ETF Trust · Semiconductr ETF10.1%
- Schwab Strategic TR · US Lcap GR ETF5.3%
- Nvidia Corporation5.2%
- Alphabet Inc. · Cap Stk CL A4.8%
- Select Sector SPDR TR · ST Str Techn ETF4.5%
- Meta Platforms Inc. · CL A4.4%
- Micron Technology Inc.3.9%
- Microsoft Corp.3.8%
- Amazon Com Inc.3.7%
Together, the ten largest are 55.8% of reported value.
How many clients does Ring Mountain Capital have?
Ring Mountain Capital has 429 clients and manages $222 million for them, as of June 2026. They include 375 individual clients, 51 high-net-worth individuals, and 2 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 9 June 2026
What services does Ring Mountain Capital offer?
Ring Mountain Capital provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Ring Mountain Capital charge?
Ring Mountain Capital charges 1.00%–1.50% a year for its Portfolio Management Services. The fee is billed in advance and is negotiable.
Source: RING MOUNTAIN CAPITAL, LLC - BROCHURE, filed 9 June 2026
Which custodians does Ring Mountain Capital use?
Ring Mountain Capital’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $222M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 June 2026
How many financial advisors does Ring Mountain Capital have?
Ring Mountain Capital has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Ring Mountain Capital invest in?
At the end of its last fiscal year, Ring Mountain Capital’s separately managed accounts held 53% exchange-traded equities, 43% registered funds (mutual funds, ETFs, BDCs) and 4% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Ring Mountain Capital?
Ring Mountain Capital’s direct owner is Scott Arwin (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 9 June 2026
How does Ring Mountain Capital get paid?
Ring Mountain Capital is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Ring Mountain Capital registered with the SEC?
Yes, Ring Mountain Capital has been registered with the SEC as an investment adviser since 29 April 2024. Its CRD number is 288714 and its SEC file number is 801-130089.
Source: Form ADV Part 1A, Item 1, filed 9 June 2026; IAPD firm record
How do I contact Ring Mountain Capital?
Ring Mountain Capital’s main office is at 1610 Tiburon BLVD., Suite 200, Tiburon, CA 94920. Its phone number is 415-350-1355. Its website is ringmountaincapital.com.