Rick J Wertheim
Investment adviser representative at Independent Financial Group, LLC
11 yearsExperience
2 statesRegistered in
$12.9BFirm assets
22 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsPerformance-based
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
11 years in the industry.
- Independent Financial Group, LLCOct 2015 to now
Exams passed
- Series 66 · Uniform Combined State Law2008
State registrations
Registered as an investment adviser representative in 2 states (AZ, CA).
Independent Financial Group, LLC
$12.9BAssets managed
26,635Clients
460Advisers
22 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5390056
- Firm CRD
- 7717