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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

NEWPORT COAST ASSET MANAGEMENT, INC.

CRD 170311

NEW YORK, NY

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:0b32952a-5690-8f92-05a6-3e8a695381e1

Data as of Oct 1, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 1
On other graphs: 0
Observed: Sep 17, 2014 to Oct 1, 2014
2 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0Item 5.F on the latest filing (2014-10-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 4
Advisory employees: 4
Accounts: 0
SEC number: 801-80370
CRD: 170311
Filings on the tape: 2
First filed: Sep 17, 2014
Latest filed: Oct 1, 2014
Organised: Corporation, Nevada

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
AUGUSTYNIAK, THEODORE, RICHARD	CHIEF COMPLIANCE OFFICER	Na	yes	02/2014	Sep 17, 2014	Oct 1, 2014
MCFADDEN, RICHARD, COLBY	VICE PRESIDENT	Na	yes	02/2014	Sep 17, 2014	Oct 1, 2014
ONESTO, RICHARD, ERNEST	CHIEF FINANCIAL OFFICER	Na	yes	02/2014	Sep 17, 2014	Oct 1, 2014
RUBICON FINANCIAL INCORPORATED	Owner	E	yes	02/2014	Sep 17, 2014	Oct 1, 2014
SPAZIANO, ARMAND, CHRISTOPHER	CHIEF EXECUTIVE OFFICER	Na	yes	02/2014	Sep 17, 2014	Oct 1, 2014
SZCZECINSKI, BRADFORD, DALE	President	Na	yes	02/2014	Sep 17, 2014	Oct 1, 2014

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
NEWPORT COAST SECURITIES, INC.	n/a	Former SEC adviser	$79.0M	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
Irvine	CA	United States	n/a	no
Chicago	IL	United States	n/a	no
Warwick	Ri	United States	n/a	no

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WESTPARK CAPITAL, INC.	3	Apr 6, 2015	Aug 16, 2016	IRVINE, CA	Firm absorbed	Other	60.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
NEWPORT COAST ASSET MANAGEMENT	2	Jul 20, 2016	Feb 9, 2015	IRVINE, CA	Channel change	Other	12.5%

Relationships

Affiliated with (1)

→ NEWPORT COAST ASSET MANAGEMENTRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (6)

← SZCZECINSKI, BRADFORD, DALEOwnerPRESIDENT, ownership code NA, individual
Sep 17, 2014 to presentfactForm ADV
← SPAZIANO, ARMAND, CHRISTOPHEROwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Sep 17, 2014 to presentfactForm ADV
← ONESTO, RICHARD, ERNESTOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Sep 17, 2014 to presentfactForm ADV
← MCFADDEN, RICHARD, COLBYOwnerVICE PRESIDENT, ownership code NA, individual
Sep 17, 2014 to presentfactForm ADV
← AUGUSTYNIAK, THEODORE, RICHARDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 17, 2014 to presentfactForm ADV
← RUBICON FINANCIAL INCORPORATEDOwnerOWNER, ownership code E, domestic entity
Sep 17, 2014 to presentfactForm ADV

Moved with (2)

→ WESTPARK CAPITAL, INC.Registered adviser3 advisors, firm absorbed, same day
Apr 6, 2015 to Aug 16, 2016factForm ADV
← NEWPORT COAST ASSET MANAGEMENTRegistered adviser2 advisors, team lift out, same day
Jul 20, 2016 to Feb 9, 2015factForm ADV

Registered with (5)

← THEODORE RICHARD AUGUSTYNIAKAdvisorregistration: previous registration
Oct 28, 2014 to Mar 29, 2016factForm ADV
← SUSAN SAJJADIAdvisorregistration: previous registration
Feb 9, 2015 to Apr 6, 2015factForm ADV
← THOMAS EDWARD JANDTAdvisorregistration: previous registration
Jan 14, 2015 to Apr 6, 2015factForm ADV
← Kelly BeldenAdvisorregistration: previous registration
Feb 2, 2015 to Apr 6, 2015factForm ADV
← KATHLEEN ANN COVEYAdvisorregistration: previous registration
Jan 14, 2015 to Apr 6, 2015factForm ADV

Dated events

Occurred
Sep 17, 2014
First Form ADV filing
Newport Coast Asset Management, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0b32952a-5690-8f92-05a6-3e8a695381e1
First observed: Sep 17, 2014
Last observed: Oct 1, 2014 145 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.

NEWPORT COAST ASSET MANAGEMENT, INC.

CRD 170311

NEW YORK, NY

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:0b32952a-5690-8f92-05a6-3e8a695381e1

Data as of Oct 1, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AUGUSTYNIAK, THEODORE, RICHARD

CHIEF COMPLIANCE OFFICER

yes

02/2014

Sep 17, 2014

Oct 1, 2014

MCFADDEN, RICHARD, COLBY

VICE PRESIDENT

yes

02/2014

Sep 17, 2014

Oct 1, 2014

ONESTO, RICHARD, ERNEST

CHIEF FINANCIAL OFFICER

yes

02/2014

Sep 17, 2014

Oct 1, 2014

RUBICON FINANCIAL INCORPORATED

Owner

yes

02/2014

Sep 17, 2014

Oct 1, 2014

SPAZIANO, ARMAND, CHRISTOPHER

CHIEF EXECUTIVE OFFICER

yes

02/2014

Sep 17, 2014

Oct 1, 2014

SZCZECINSKI, BRADFORD, DALE

President

yes

02/2014

Sep 17, 2014

Oct 1, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NEWPORT COAST SECURITIES, INC.

n/a

Former SEC adviser

$79.0M

yes

n/a

City

State

Country

Employees

Also broker-dealer

Irvine

United States

n/a

Chicago

United States

n/a

Warwick

United States

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WESTPARK CAPITAL, INC.

Apr 6, 2015

Aug 16, 2016

IRVINE, CA

Firm absorbed

Other

60.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

NEWPORT COAST ASSET MANAGEMENT

Jul 20, 2016

Feb 9, 2015

IRVINE, CA

Channel change

Other

12.5%