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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

GARCIA WEALTH MANAGEMENT GROUP, INC.

CRD 158082

TEMPLETON, 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:1b78bb15-697b-2a86-d891-bd46e122875e

Data as of Mar 5, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Mar 20, 2014 to Mar 5, 2021
18 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 (2021-03-05); 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: 7
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 0
Individual clients: 0
High net worth clients: 0
SEC number: 801-79445
CRD: 158082
Filings on the tape: 18
First filed: Mar 20, 2014
Latest filed: Mar 5, 2021
Organised: Corporation, California

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
GARCIA, ROBERT, ALAN	TRUSTEE OF ROB A GARCIA & DEBORAH L DONNELLY LIVING TRUST	F	yes	01/2015	Mar 20, 2014	Mar 5, 2021
GARCIA, ROBERT, ALAN	PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	yes	01/2015	Mar 20, 2014	Mar 5, 2021
ROB A GARCIA & DEBORAH L DONNELLY LIVING TRUST	Owner	E	no	04/2006	Mar 29, 2019	Mar 5, 2021

Offices

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

City	State	Country	Employees	Also broker-dealer
SAN LUIS OBISPO	CA	United States	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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 30, 2020	$393M	$348M	7	3	1	n/a	n/a
2018	Mar 29, 2019	$323M	$279M	7	3	1	n/a	n/a
2017	Mar 29, 2018	$301M	$240M	7	3	1	n/a	n/a
2016	Mar 30, 2017	$227M	$171M	5	2	n/a	n/a	n/a
2015	Mar 28, 2016	$186M	$125M	5	2	n/a	n/a	n/a
2014	Mar 5, 2015	$177M	$109M	6	3	n/a	n/a	n/a

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
2019	$0	$323M	-100.0%	$227M	n/a	7	7	1	1

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
CORVUS WEALTH ADVISORS LLC	3	Mar 29, 2021	Jan 12, 2021	TEMPLETON, CA	Firm absorbed	Other	100.0%

Relationships

Controls (1)

← GARCIA, ROBERT, ALANOwnerTRUSTEE OF ROB A GARCIA & DEBORAH L DONNELLY LIVING TRUST, ownership code F, individual
Mar 20, 2014 to presentfactForm ADV

Owns (1)

← ROB A GARCIA & DEBORAH L DONNELLY LIVING TRUSTOwnerOWNER, ownership code E, domestic entity
Mar 29, 2019 to presentfactForm ADV

Registered with (4)

← ROBERT ALAN GARCIAAdvisorregistration: previous registration
Mar 7, 2012 to Mar 29, 2021factForm ADV
← STEPHANIE CHRISTINA KEMPAdvisorregistration: previous registration
Mar 22, 2013 to Mar 29, 2021factForm ADV
← Alison Rose ShannonAdvisorregistration: previous registration
Oct 25, 2016 to Mar 29, 2021factForm ADV
← PAUL ANDREW PAROTTIAdvisorregistration: previous registration
Mar 7, 2012 to May 15, 2015factForm ADV

Moved with (1)

→ CORVUS WEALTH ADVISORS LLCRegistered adviser3 advisors, firm absorbed, same day
Mar 29, 2021 to Jan 12, 2021factForm ADV

Dated events

Occurred
Mar 5, 2021
Regulatory AUM changed
Garcia Wealth Management Group, Inc. reported RAUM $0, down 100% from $393.4M (2020-12-24 to 2021-03-05)
Form ADVobserved 4 days ago
$-393M
Occurred
Mar 5, 2015
Succession filed (Item 4)
Garcia Wealth Management Group reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago
Occurred
Mar 20, 2014
First Form ADV filing
Garcia Wealth Management Group filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1b78bb15-697b-2a86-d891-bd46e122875e
First observed: Mar 20, 2014
Last observed: Mar 5, 2021 67 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.

GARCIA WEALTH MANAGEMENT GROUP, INC.

CRD 158082

TEMPLETON, 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:1b78bb15-697b-2a86-d891-bd46e122875e

Data as of Mar 5, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:13 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GARCIA, ROBERT, ALAN

TRUSTEE OF ROB A GARCIA & DEBORAH L DONNELLY LIVING TRUST

yes

01/2015

Mar 20, 2014

Mar 5, 2021

GARCIA, ROBERT, ALAN

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

01/2015

Mar 20, 2014

Mar 5, 2021

ROB A GARCIA & DEBORAH L DONNELLY LIVING TRUST

Owner

04/2006

Mar 29, 2019

Mar 5, 2021

City

State

Country

Employees

Also broker-dealer

SAN LUIS OBISPO

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 30, 2020

$393M

$348M

n/a

2018

Mar 29, 2019

$323M

$279M

n/a

2017

Mar 29, 2018

$301M

$240M

n/a

2016

Mar 30, 2017

$227M

$171M

n/a

2015

Mar 28, 2016

$186M

$125M

n/a

2014

Mar 5, 2015

$177M

$109M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$323M

-100.0%

$227M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CORVUS WEALTH ADVISORS LLC

Mar 29, 2021

Jan 12, 2021

TEMPLETON, CA

Firm absorbed

Other

100.0%