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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 1b 10b

3(38) INVESTMENT FIDUCIARIES

3(38) INVESTMENT FIDUCIARIES INC., CRD 298053

SIMI VALLEY, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:08b36b27-b532-b153-86c2-9f0c9283199c

Data as of Jun 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 1
Observed: Aug 31, 2018 to Jun 22, 2026
22 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

3(38) Investment Fiduciaries

Investment consultant · shared crd

Facts

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

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.0BItem 5.F on the latest filing (2026-06-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.0B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $518Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 207
Individual clients: 0
High net worth clients: 0
SEC number: 801-114078
CRD: 298053
Filings on the tape: 22
First filed: Aug 31, 2018
Latest filed: Jun 22, 2026
Organised: Corporation, CA

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
WILKINSON, STEVEN, T	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	07/2018	Aug 31, 2018	Jun 4, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MONARCH PLAN ADVISORS	n/a	Institutional manager	$793M	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 8 of 9

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 18, 2026	$1.0B	$1.0B	3	3	1	n/a	n/a
2024	Apr 10, 2025	$0	$0	3	3	1	n/a	n/a
2023	Feb 2, 2024	n/a	n/a	3	3	1	n/a	n/a
2022	Feb 24, 2023	n/a	n/a	2	2	1	n/a	n/a
2021	Feb 28, 2022	n/a	n/a	2	2	0	n/a	n/a
2020	Mar 7, 2021	n/a	n/a	2	2	0	n/a	n/a
2019	Feb 18, 2020	n/a	n/a	2	2	0	n/a	n/a
2018	Jan 23, 2019	n/a	n/a	4	2	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.0B	$0	n/a	n/a	n/a	2	3	1	1

Relationships

Affiliated with (2)

← MONARCH PLAN ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ MONARCH PLAN ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV

Registered with (3)

← ADRIAN EDWARD RAMIREZAdvisorregistration: current employment
May 22, 2024 to presentfactForm ADV
← STEVEN T WILKINSONAdvisorregistration: current employment
Oct 8, 2018 to presentfactForm ADV
← Michael FineAdvisorregistration: previous registration
Oct 10, 2018 to May 4, 2026factForm ADV

Controls (1)

← WILKINSON, STEVEN, TOwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Aug 31, 2018 to Jun 4, 2024factForm ADV

Dated events

Occurred
May 4, 2026
Advisor departed, no destination yet
Michael Fine no longer registered at 3(38) Investment Fiduciaries; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
May 3, 2021
Control person left
Michael Fine (Retirement Plan Consultant) no longer on Schedule A of 3(38) Investment Fiduciaries (listed 2021-03-07, absent 2021-05-03)
Form ADVobserved 6 days ago
Occurred
Feb 18, 2020
Control person joined
Michael Fine (Retirement Plan Consultant) appeared on Schedule A of 3(38) Investment Fiduciaries
Form ADVobserved 6 days ago
Occurred
Aug 31, 2018
First Form ADV filing
3(38) Investment Fiduciaries filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:08b36b27-b532-b153-86c2-9f0c9283199c
First observed: Aug 31, 2018
Last observed: Jun 22, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

3(38) INVESTMENT FIDUCIARIES

3(38) INVESTMENT FIDUCIARIES INC., CRD 298053

SIMI VALLEY, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:08b36b27-b532-b153-86c2-9f0c9283199c

Data as of Jun 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:00 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WILKINSON, STEVEN, T

PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

07/2018

Aug 31, 2018

Jun 4, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MONARCH PLAN ADVISORS

n/a

Institutional manager

$793M

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 18, 2026

$1.0B

n/a

2024

Apr 10, 2025

n/a

2023

Feb 2, 2024

n/a

2022

Feb 24, 2023

n/a

2021

Feb 28, 2022

n/a

2020

Mar 7, 2021

n/a

2019

Feb 18, 2020

n/a

2018

Jan 23, 2019

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.0B

n/a