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RIA / WealthAdvisor20 years in industry

SCOTT JAMES HOFMAN

Advisor at RATIO CAPITAL

Pasadena, CA | LAS VEGAS, NV

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Search this name across graphsid dfx:ria:4476492f-dd03-5300-cd52-cefa8ec6da5c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jan 16, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RATIO CAPITAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 14, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 14, 2006
First registration: Jan 16, 2006
Dual registered: no
IAPD individual key: 5069797

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RATIO CAPITAL	State registered	Jan 5, 2026	n/a	yes	Pasadena, CA\|LAS VEGAS, NV	Current employment
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	May 4, 2015	May 9, 2019	no	BURBANK, CA\|GLENDALE, CA\|Los Angeles, CA\|LOS ANGELES, CA\|Los Angeles, CA\|SANTA MONICA, CA\|SANTA MONICA, CA\|WEST HOLLYWOOD, CA\|LOS ANGELES, CA\|Beverly Hills, CA\|LOS ANGELES, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Oct 1, 2013	May 7, 2015	no	LOS ANGELES, CA\|Fountain Valley, CA\|San Antonio, TX\|Los Angeles, CA\|SAN FRANCISCO, CA\|LOS ANGELES, CA\|LOS ANGELES, CA\|FOUNTAIN VALLEY, CA	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Apr 19, 2010	Oct 11, 2013	no	NORTHRIDGE, CA\|LOS ANGELES, CA\|LOS ANGELES, CA\|GLENDALE, CA\|WOODLAND HILLS, CA\|LOS ANGELES, CA\|ENCINO, CA\|SHERMAN OAKS, CA\|LAS VEGAS, NV	Previous registration
ESSEX NATIONAL SECURITIES, INC.	Former SEC adviser	Aug 12, 2009	Apr 15, 2010	no	ARCADIA, CA\|GLENDORA, CA\|LOS ANGELES, CA\|LOS ANGELES, CA\|LA CRESCENTA, CA\|LOS ANGELES, CA\|MONTEBELLO, CA\|PASADENA, CA\|SOUTH PASADENA, CA\|TOLUCA LAKE, CA\|GLENDALE, CA\|BURBANK, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 23, 2008	Jul 8, 2009	no	Los Angeles, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Apr 16, 2007	Dec 22, 2008	no	LA CANADA, CA\|LOS ANGELES, CA\|TOLUCA LAKE, CA\|LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jan 16, 2006	Aug 14, 2006	no	LOS ANGELES, CA\|BURBANK, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U.S. BANCORP ADVISORS, LLC	RATIO CAPITAL	May 9, 2019	Jan 5, 2026	2,433	Firm change after gap	Ibd to state RIA
CITIGROUP GLOBAL MARKETS INC.	U.S. BANCORP ADVISORS, LLC	May 7, 2015	May 4, 2015	-3	Firm change	Other
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	CITIGROUP GLOBAL MARKETS INC.	Oct 11, 2013	Oct 1, 2013	-10	Firm change	Other
ESSEX NATIONAL SECURITIES, INC.	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Apr 15, 2010	Apr 19, 2010	4	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	ESSEX NATIONAL SECURITIES, INC.	Jul 8, 2009	Aug 12, 2009	35	Firm change	Other
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 22, 2008	Dec 23, 2008	1	Firm change	Wirehouse to ibd
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Aug 14, 2006	Apr 16, 2007	245	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7059:14455:CA:2015-05-07	May 7, 2015	May 4, 2015	FOUNTAIN VALLEY, CA	Firm change

Relationships

Registered with (8)

→ RATIO CAPITALRegistered adviserregistration: current employment
Jan 5, 2026 to presentfactForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
May 4, 2015 to May 9, 2019factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Oct 1, 2013 to May 7, 2015factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Apr 19, 2010 to Oct 11, 2013factForm ADV
→ ESSEX NATIONAL SECURITIES, INC.Registered adviserregistration: previous registration
Aug 12, 2009 to Apr 15, 2010factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 23, 2008 to Jul 8, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 16, 2007 to Dec 22, 2008factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jan 16, 2006 to Aug 14, 2006factForm ADV

Dated events

No dated event names this entity yet.