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CRD 107314
EUREKA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JEREMY ROBERT SORCI | n/a | EUREKA, CA | 13 | 20 | n/a | no |
| FRANCOISE RENEE CRANDELL | n/a | EUREKA, CA | 11 | 35 | 2 | no |
| Kyla Jordan Orr | n/a | EUREKA, CA | 3 | 11 | n/a | no |
| Phoenix Arnold | n/a | EUREKA, CA | 2 | 13 | n/a | no |
| Mary Katherine Mizera | n/a | EUREKA, CA | 2 | 11 | n/a | no |
| Teresa Margaret Sollom | n/a | EUREKA, CA | 1 | 9 | n/a | no |
| WAYNE OLIVER CALDWELL | n/a | EUREKA, CA | 1 | 42 | n/a | no |
| GINGER LYNN WEBER | n/a | EUREKA, CA | 1 | 28 | n/a | no |
| CARLA JENNELL SIMPSON | n/a | EUREKA, CA | 1 | 23 | n/a | no |
| JOHN CHRISTIAN GLOOR | n/a | EUREKA, CA | 1 | 39 | n/a | no |
| Georgia Mae Pearl Nordquist | n/a | EUREKA, CA | 1 | 10 | n/a | no |
| TERESA IRENE CONLEY | n/a | EUREKA, CA | 1 | 24 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CALDWELL, WAYNE, OLIVER | PRINCIPAL, DIRECTOR, CERTIFIED FINANCIAL PLANNER | C | yes | 04/1987 | Feb 21, 2012 | Aug 2, 2024 |
| CONLEY, TERESA, IRENE | PRINCIPAL, DIRECTOR, CERTIFIED FINANCIAL PLANNER, VICE PRESIDENT, CFO | Na | yes | 01/2018 | Mar 10, 2017 | Aug 2, 2024 |
| GLOOR, JOHN, CHRISTIAN | PRINCIPAL, DIRECTOR, ADVISOR | B | yes | 04/1987 | Feb 21, 2012 | Aug 2, 2024 |
| ROSS, CHARLES, RONALD | PRINCIPAL, DIRECTOR, ADVISOR | B | yes | 02/1990 | Feb 21, 2012 | Aug 2, 2024 |
| SMITH, BRUCE, ANDERSON | Principal | A | yes | 12/2010 | Feb 21, 2012 | Aug 2, 2024 |
| WEBER, GINGER, LYNN | PRINCIPAL, DIRECTOR, CERTIFIED FINANCIAL PLANNER, PRESIDENT | B | yes | 02/2004 | Feb 21, 2012 | Aug 2, 2024 |
| SORCI, JEREMY, ROBERT | PRINCIPAL, DIRECTOR, CHIEF COMPLIANCE OFFICER | Na | no | 01/2020 | Mar 19, 2020 | Aug 2, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 2, 2026 | $820M | $698M | 17 | 12 | 0 | n/a | n/a |
| 2024 | Mar 18, 2025 | $721M | $610M | 17 | 11 | 0 | n/a | n/a |
| 2023 | Mar 19, 2024 | $672M | $565M | 17 | 11 | 0 | n/a | n/a |
| 2022 | Mar 28, 2023 | $632M | $538M | 17 | 10 | 0 | n/a | n/a |
| 2021 | Mar 11, 2022 | $757M | $677M | 16 | 9 | 0 | n/a | n/a |
| 2020 | Mar 19, 2021 | $597M | $455M | 16 | 9 | 0 | n/a | n/a |
| 2019 | Mar 19, 2020 | $626M | $505M | 16 | 10 | 0 | n/a | n/a |
| 2018 | Mar 7, 2019 | $526M | $426M | 16 | 10 | 0 | n/a | n/a |
| 2017 | Mar 13, 2018 | $582M | $470M | 15 | 10 | 0 | n/a | n/a |
| 2016 | Mar 10, 2017 | $491M | $381M | 16 | 9 | n/a | n/a | n/a |
| 2015 | Mar 3, 2016 | $435M | $337M | 15 | 8 | n/a | n/a | n/a |
| 2014 | Mar 19, 2015 | $447M | $344M | 13 | 7 | n/a | n/a | n/a |
| 2013 | Mar 17, 2014 | $434M | $336M | 14 | 7 | n/a | n/a | n/a |
| 2012 | Mar 19, 2013 | $357M | $287M | 14 | 8 | n/a | n/a | n/a |
| 2011 | Feb 21, 2012 | $313M | $240M | n/a | n/a | 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 | 0 | 0 | 0.0% | 0 | 0 | 0 | 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 | $820M | $721M | 13.7% | $632M | 9.1% | 17 | 17 | 0 | 0 |