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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PACIFIC WEALTH STRATEGIES GROUP, INC.

CRD 144789

SANTA BARBARA, 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:23fde57a-513a-a90a-4af6-642ffdd8b3e7

Data as of Jul 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Mar 26, 2012 to Jul 14, 2026
33 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: independent wealth managerderivedprivate_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $253MItem 5.F on the latest filing (2026-07-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $224M
Private client RAUM: $227MderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $84.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 526
Individual clients: 93
High net worth clients: 89
Custody, client assets: $78.9M
SEC number: 801-68311
CRD: 144789
Filings on the tape: 33
First filed: Mar 26, 2012
Latest filed: Jul 14, 2026
Organised: Corporation, CA
Website: pwsg.net

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ERIN JANE NEIL	n/a	SANTA BARBARA, CA	19	28	2	no
GRAHAM STUART GUESS	n/a	SANTA BARBARA, CA	17	27	6	no
JEFFERY DANE BROOKSHIRE	Certified Financial Planner	SANTA BARBARA, CA	0	28	3	no

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
BROOKSHIRE, JEFFERY, DANE	VICE PRESIDENT, CORPORATE SECRETARY, TREASURER	D	yes	08/2007	Mar 26, 2012	Feb 12, 2024
NEIL, ERIN, JANE	PRESIDENT & CHIEF COMPLIANCE OFFICER	D	yes	08/2007	Mar 26, 2012	Feb 12, 2024

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
2025	Mar 12, 2026	$253M	$224M	3	3	0	n/a	n/a
2024	Mar 19, 2025	$218M	$186M	3	3	0	n/a	n/a
2023	Feb 12, 2024	$177M	$154M	3	3	0	n/a	n/a
2022	Feb 21, 2023	$131M	$116M	3	3	0	n/a	n/a
2021	Feb 18, 2022	$337M	$319M	7	4	1	n/a	n/a
2020	Mar 12, 2021	$268M	$259M	7	4	1	n/a	n/a
2019	Feb 20, 2020	$215M	$211M	7	4	1	n/a	n/a
2018	Mar 4, 2019	$171M	$169M	9	4	1	n/a	n/a
2017	Mar 14, 2018	$173M	$171M	11	6	1	n/a	n/a
2016	Feb 10, 2017	$196M	$151M	9	6	n/a	n/a	n/a
2015	Mar 9, 2016	$179M	$129M	9	5	n/a	n/a	n/a
2014	Mar 9, 2015	$184M	$128M	9	5	n/a	n/a	n/a
2013	Mar 21, 2014	$132M	$72.9M	9	5	n/a	n/a	n/a
2012	Mar 28, 2013	$113M	$67.4M	6	6	n/a	n/a	n/a
2011	Mar 26, 2012	$100M	$38.3M	n/a	n/a	n/a	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
1	0	1	0.0%	0	0	0	1	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	$253M	$218M	16.3%	$131M	24.5%	3	3	0	0

Relationships

Registered with (5)

← JEFFERY DANE BROOKSHIREAdvisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← GRAHAM STUART GUESSAdvisorregistration: current employment
Jan 21, 2009 to presentfactForm ADV
← ERIN JANE NEILAdvisorregistration: current employment
Sep 14, 2007 to presentfactForm ADV
← MARK CHRISTOPHER SHOEMAKERAdvisorregistration: previous registration
Jun 28, 2010 to May 19, 2022factForm ADV
← Shelby Alexis LewisAdvisorregistration: previous registration
Jan 13, 2017 to Aug 17, 2018factForm ADV

Controls (2)

← NEIL, ERIN, JANEOwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 26, 2012 to Feb 12, 2024factForm ADV
← BROOKSHIRE, JEFFERY, DANEOwnerVICE PRESIDENT, CORPORATE SECRETARY, TREASURER, ownership code D, individual
Mar 26, 2012 to Feb 12, 2024factForm ADV

Dated events

Occurred
Jun 6, 2022
Regulatory AUM changed
Pacific Wealth Strategies Group, Inc. reported RAUM $137.3M, down 59% from $337.2M (2022-02-18 to 2022-06-06)
Form ADVobserved 5 days ago
$-200M
Occurred
May 19, 2022
Advisor changed firm
Mark Christopher Shoemaker left Pacific Wealth Strategies Group, Inc. for First Allied Advisory Services, Inc. (registered 2012-07-02)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:23fde57a-513a-a90a-4af6-642ffdd8b3e7
First observed: Mar 26, 2012
Last observed: Jul 14, 2026 2 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.

PACIFIC WEALTH STRATEGIES GROUP, INC.

CRD 144789

SANTA BARBARA, 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:23fde57a-513a-a90a-4af6-642ffdd8b3e7

Data as of Jul 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:27 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ERIN JANE NEIL

n/a

SANTA BARBARA, CA

GRAHAM STUART GUESS

n/a

SANTA BARBARA, CA

JEFFERY DANE BROOKSHIRE

Certified Financial Planner

SANTA BARBARA, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROOKSHIRE, JEFFERY, DANE

VICE PRESIDENT, CORPORATE SECRETARY, TREASURER

yes

08/2007

Mar 26, 2012

Feb 12, 2024

NEIL, ERIN, JANE

PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

08/2007

Mar 26, 2012

Feb 12, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 12, 2026

$253M

$224M

n/a

2024

Mar 19, 2025

$218M

$186M

n/a

2023

Feb 12, 2024

$177M

$154M

n/a

2022

Feb 21, 2023

$131M

$116M

n/a

2021

Feb 18, 2022

$337M

$319M

n/a

2020

Mar 12, 2021

$268M

$259M

n/a

2019

Feb 20, 2020

$215M

$211M

n/a

2018

Mar 4, 2019

$171M

$169M

n/a

2017

Mar 14, 2018

$173M

$171M

n/a

2016

Feb 10, 2017

$196M

$151M

n/a

2015

Mar 9, 2016

$179M

$129M

n/a

2014

Mar 9, 2015

$184M

$128M

n/a

2013

Mar 21, 2014

$132M

$72.9M

n/a

2012

Mar 28, 2013

$113M

$67.4M

n/a

2011

Mar 26, 2012

$100M

$38.3M

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

$253M

$218M

16.3%

$131M

24.5%