Unclaimed Profile

Milton Rafael Balbuena

VII PEAKS CAPITAL LLC·SANTA MONICA, California

Series 6520 years registeredVII PEAKS CAPITAL LLC

1431 OCEAN AVENUE, SANTA MONICA, CA 90401CRD# 2922485Firm CRD# 153825

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Milton Rafael Balbuena · SANTA MONICA, CA

Registration

CRD #2922485 · VII PEAKS CAPITAL LLC · 20 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: VII PEAKS CAPITAL LLC

BLUE HALL CAPITAL

Sep 2017 – Aug 2025

SAN JUAN, PR

BLUE HALL CAPITAL, LLC

Jun 2013 – Dec 2017

NAPA, CA

CONTANGO CAPITAL ADVISORS, INC.

Jun 2006 – Aug 2011

SAN FRANCISCO, CA

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · June 22, 2006

Years registered · 20

Disclosure History

2017Judgment / Lien

2009Customer Dispute·Settled

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

VII PEAKS CAPITAL LLC

CRD 153825 · SEC 801-71553

AUM

$28M

Regulatory assets under management

Employees

3 client accounts

Services offered by VII PEAKS CAPITAL LLC

Per Form ADV

Portfolio management (pooled investments)

Pension consulting

Client types served by the firm

Per Form ADV

Institutional Investors

Pension & Retirement Plans

View all advisors at VII PEAKS CAPITAL LLC →

Introduction

Speak with Milton

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Milton is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in SANTA MONICA?

Browse all registered financial advisors in SANTA MONICA, California or claim this profile if it's yours.

Browse SANTA MONICA Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Milton Rafael Balbuena offer?

Milton Rafael Balbuena specializes in Investment Management, Retirement Planning.

What are Milton Rafael Balbuena's credentials?

Milton Rafael Balbuena is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Milton Rafael Balbuena located?

Milton Rafael Balbuena is based in SANTA MONICA, California, last registered with VII PEAKS CAPITAL LLC.

How does Milton Rafael Balbuena charge for services?

Milton Rafael Balbuena's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is VII PEAKS CAPITAL LLC?

VII PEAKS CAPITAL LLC has approximately 1 employees and manages $28M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →