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CRD 169863
LAGUNA HILLS, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| ERNEST DANIEL GARRETT | Certified Financial Planner | LAGUNA HILLS, CA | 12 | 27 | 1 | no |
| TRACY ANN KUNTZ | Certified Financial Planner | LAGUNA HILLS, CA | 12 | 41 | 1 | no |
| ROBYN LYNN CLARKE | Certified Financial Planner | LAGUNA HILLS, CA | 12 | 25 | 1 | no |
| MARTIN DANIEL STANDISH | Certified Financial Planner|Chartered Financial Analyst | LAGUNA HILLS, CA | 7 | 15 | 4 | no |
| OMID EFTEKHARI | Chartered Financial Analyst | LAGUNA HILLS, CA | 3 | 19 | 1 | no |
| Carlos Ortega | Certified Financial Planner | LAGUNA HILLS, CA | 3 | 10 | 1 | no |
| PAULA DURRANT | Certified Financial Planner | LAGUNA HILLS, CA | 2 | 21 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| GARRETT, ERNEST, DANIEL | VICE PRESIDENT OF INVESTMENT SERVICES | Na | yes | 12/2013 | Apr 6, 2026 | Apr 6, 2026 |
| KUNTZ, TRACY, ANN | PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | Na | yes | 12/2013 | Apr 6, 2026 | Apr 6, 2026 |
| THE TCM EMPLOYEE STOCK | Trust | E | yes | 12/2013 | Apr 6, 2026 | Apr 6, 2026 |
| MCCAIN, WESLEY, GEORGE | Chairman | Na | yes | 12/2013 | Dec 10, 2013 | Sep 5, 2024 |
| MCCAIN, WESLEY, GEORGE | Trustee | F | yes | 07/1979 | Dec 10, 2013 | Sep 5, 2024 |
| PAREDES, MIGUEL | Trustee | F | yes | 12/2018 | Mar 11, 2019 | Sep 5, 2024 |
| THE TCM EMPLOYEE STOCK OWNERSHIP TRUST | Trust | E | yes | 12/2013 | Dec 10, 2013 | Sep 5, 2024 |
| MANASTEE RIVER REVOCABLE | Trust | B | no | 12/2013 | Apr 6, 2026 | Apr 6, 2026 |
| MANASTEE RIVER REVOCABLE TRUST | Trust | B | no | 12/2013 | Dec 10, 2013 | Sep 5, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 6, 2026 | $1.1B | $1.1B | 12 | 8 | 0 | n/a | n/a |
| 2024 | Apr 28, 2025 | $1.0B | $1.0B | 13 | 9 | 0 | n/a | n/a |
| 2023 | Mar 21, 2024 | $882M | $882M | 13 | 9 | 0 | n/a | n/a |
| 2022 | Mar 13, 2023 | $819M | $819M | 13 | 10 | 0 | n/a | n/a |
| 2021 | Mar 23, 2022 | $954M | $954M | 13 | 9 | 0 | n/a | n/a |
| 2020 | Mar 29, 2021 | $849M | $849M | 14 | 10 | 2 | n/a | n/a |
| 2019 | Mar 12, 2020 | $779M | $779M | 13 | 9 | 1 | n/a | n/a |
| 2018 | Mar 11, 2019 | $724M | $724M | 12 | 9 | 1 | n/a | n/a |
| 2017 | Mar 2, 2018 | $717M | $717M | 14 | 10 | 1 | n/a | n/a |
| 2016 | Mar 14, 2017 | $612M | $612M | 14 | 10 | n/a | n/a | n/a |
| 2015 | Mar 28, 2016 | $593M | $593M | 14 | 10 | n/a | n/a | n/a |
| 2014 | Mar 12, 2015 | $611M | $611M | 13 | 10 | n/a | n/a | n/a |
| 2013 | Jan 31, 2014 | $586M | $586M | 14 | 10 | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 14.3% | 0 | 0 | 0 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.1B | $1.0B | 6.8% | $819M | 10.1% | 12 | 13 | 0 | 0 |