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Eqis Capital Management

Eqis Capital Management is a RIA based in San Rafael, CA with $779M in AUM and with 16 advisors nationwide.

Advisors (16)

Name Start Date
Marc David Orourke Oct 2012
William Robert Nelson May 2004
Stephen Lytton Schwerin Oct 2014
Roxanna Marie Guinan Jun 2014
Donald Raymond Delaria Sep 2012
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

Total Assets
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.


  •   Eqis Holding, Inc. (75% or more)
  •   Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

Name Title Tenure Date
William Robert Nelson Principal 06/01/2008
Duane Menting Chief Financial Officer / Chief Legal Council 03/01/2008
Jennifer Christine Winters Chief Compliance Officer / Amlco 02/01/2007

Affiliated Investment Advisors and Broker Dealers

No firm affiliates listed.

Principal Office & Place of Business

Principal Office

1000 4th St., Ste 650
San Rafael , CA 94901
Phone Number: 800-949-9936

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets