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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

DOWLING & YAHNKE, LLC

CRD 107672

SAN DIEGO, 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:2d7ad9a1-3618-0973-4eec-bba9300ca973

Data as of Mar 1, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 39
On other graphs: 0
Observed: Mar 28, 2012 to Mar 1, 2023
75 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: $6.1BItem 5.F on the latest filing (2023-03-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.0B
Private client RAUM: $5.7BderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 56
Advisory employees: 24
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 4,834
Individual clients: 153
High net worth clients: 1,196
Custody, client assets: $22.6M
SEC number: 801-29274
CRD: 107672
Filings on the tape: 75
First filed: Mar 28, 2012
Latest filed: Mar 1, 2023
Organised: Limited Liability Company, Delaware

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
BEAMER, WILLIAM, GILES	President	Na	yes	11/2013	Mar 28, 2012	Mar 1, 2023
CI FINANCIAL CORP.	Owner	E	yes	12/2019	Jul 1, 2021	Mar 1, 2023
CI PRIVATE WEALTH, LLC	OWNER & MANAGING MEMBER	E	yes	06/2021	Mar 1, 2023	Mar 1, 2023
CI US HOLDINGS, INC.	Owner	E	yes	09/2021	Mar 1, 2023	Mar 1, 2023
CIPW HOLDINGS, LLC	Owner	E	yes	01/2022	Mar 1, 2023	Mar 1, 2023
NAKAMURA, LARRY, TRISTON	CHIEF COMPLIANCE OFFICER	Na	yes	02/2023	Jan 27, 2020	Mar 1, 2023
YAHNKE, DALE, EDWARD	CHIEF EXECUTIVE OFFICER	Na	yes	09/2016	Mar 28, 2012	Mar 1, 2023
Zerbato, Emily, Rose	COMPLIANCE OFFICER	Na	yes	02/2023	Jul 30, 2021	Mar 1, 2023

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
CI PRIVATE WEALTH, LLC	n/a	Independent wealth	$165B	Y	yes	n/a
PORTOLA PARTNERS GROUP LLC	n/a	Former SEC adviser	$5.6B	N	yes	n/a

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
2021	Mar 31, 2022	$6.1B	$124M	56	24	0	n/a	n/a
2020	Mar 31, 2021	$5.5B	$5.5B	54	24	0	n/a	n/a
2019	Mar 31, 2020	$4.7B	$4.7B	54	24	0	n/a	n/a
2018	Mar 27, 2019	$3.8B	$3.8B	44	21	0	n/a	n/a
2017	Mar 29, 2018	$4.0B	$4.0B	40	18	0	n/a	n/a
2016	Mar 29, 2017	$3.4B	$3.4B	38	17	n/a	n/a	n/a
2015	Mar 25, 2016	$3.0B	$3.0B	34	16	n/a	n/a	n/a
2014	Mar 30, 2015	$2.9B	$2.9B	32	15	n/a	n/a	n/a
2013	Mar 31, 2014	$2.6B	$2.6B	31	12	n/a	n/a	n/a
2012	Mar 28, 2013	$2.2B	$2.2B	28	11	n/a	n/a	n/a
2011	Mar 28, 2012	$2.0B	$2.0B	n/a	n/a	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
2021	$6.1B	$5.5B	11.6%	$3.8B	16.9%	56	54	0	0

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
Corient	20	Mar 31, 2023	Jan 6, 2025	SAN DIEGO, CA	Firm absorbed	RIA to ibd	100.0%

Relationships

Affiliated with (3)

→ PORTOLA PARTNERSRegistered adviserother investment adviser, common control
factForm ADV
→ CORIENTRegistered adviserother investment adviser, control, common control
factForm ADV
← PORTOLA PARTNERSRegistered adviserother investment adviser, common control
factForm ADV

Controls (8)

← YAHNKE, DALE, EDWARDOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← NAKAMURA, LARRY, TRISTONOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 27, 2020 to presentfactForm ADV
← BEAMER, WILLIAM, GILESOwnerPRESIDENT, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← Zerbato, Emily, RoseOwnerCOMPLIANCE OFFICER, ownership code NA, individual
Jul 30, 2021 to presentfactForm ADV
← CI FINANCIAL CORP.OwnerOWNER, ownership code E, foreign entity
Jul 1, 2021 to presentfactForm ADV
← CI PRIVATE WEALTH, LLCOwnerOWNER & MANAGING MEMBER, ownership code E, domestic entity
Mar 1, 2023 to presentfactForm ADV
← CI US HOLDINGS, INC.OwnerOWNER, ownership code E, domestic entity
Mar 1, 2023 to presentfactForm ADV
← CIPW HOLDINGS, LLCOwnerOWNER, ownership code E, domestic entity
Mar 1, 2023 to presentfactForm ADV

Moved with (1)

→ CORIENTRegistered adviser20 advisors, firm absorbed, same day
Mar 31, 2023 to Jan 6, 2025factForm ADV

Registered with (27)

← Chris Martin JohnsonAdvisorregistration: previous registration
Mar 10, 2022 to Mar 31, 2023factForm ADV
← ELIAS FRANCHESCO VERAAdvisorregistration: previous registration
Sep 25, 2012 to Mar 31, 2023factForm ADV
← WILLIAM GILES BEAMERAdvisorregistration: previous registration
May 10, 2002 to Mar 31, 2023factForm ADV
← ANNA E. DIAZAdvisorregistration: previous registration
Nov 12, 2018 to Mar 31, 2023factForm ADV
← BRETT RYAN PERNICANOAdvisorregistration: previous registration
Nov 6, 2014 to Mar 31, 2023factForm ADV
← GRANT ALLAN WEBSTERAdvisorregistration: previous registration
Dec 15, 2016 to Mar 31, 2023factForm ADV
← JOHN MICHAEL PETERSAdvisorregistration: previous registration
Dec 1, 2021 to Mar 31, 2023factForm ADV
← MATTHEW ROSS ADAMSAdvisorregistration: previous registration
Aug 23, 2017 to Mar 31, 2023factForm ADV
← MICHAEL S BROWNAdvisorregistration: previous registration
Aug 8, 2012 to Mar 31, 2023factForm ADV
← MICHAEL NOWLAN STRAUSSAdvisorregistration: previous registration
Mar 22, 2021 to Mar 31, 2023factForm ADV
← JACOB THOMAS ERLENDSONAdvisorregistration: previous registration
Sep 25, 2012 to Mar 31, 2023factForm ADV
← JEFFREY MICHAEL GOHSLERAdvisorregistration: previous registration
Dec 4, 2012 to Mar 31, 2023factForm ADV
← KENDRICK AKIRA UYEDAAdvisorregistration: previous registration
Jun 27, 2013 to Mar 31, 2023factForm ADV
← ERIK HENRY NELSONAdvisorregistration: previous registration
Aug 15, 2019 to Mar 31, 2023factForm ADV
← ANDREW HAINES MCNAMARAAdvisorregistration: previous registration
Nov 20, 2020 to Mar 31, 2023factForm ADV
← Kelly Ann FeldmannAdvisorregistration: previous registration
Apr 30, 2018 to Mar 31, 2023factForm ADV
← RAYMOND MARK WERNIGAdvisorregistration: previous registration
Mar 29, 2017 to Mar 31, 2023factForm ADV
← Andrew Yoontae KimAdvisorregistration: previous registration
Jul 26, 2022 to Mar 31, 2023factForm ADV
← Robert Joseph HanlonAdvisorregistration: previous registration
Apr 23, 2021 to Mar 31, 2023factForm ADV
← Brian Robert HebertAdvisorregistration: previous registration
Oct 3, 2022 to Mar 31, 2023factForm ADV
← HUNTER PEARSON DANIELAdvisorregistration: previous registration
Jan 12, 2018 to Jul 5, 2022factForm ADV
← JASON MICHAEL ABBAMONTEAdvisorregistration: previous registration
Apr 6, 2022 to May 9, 2022factForm ADV
← Aria Kojima FalaheeAdvisorregistration: previous registration
Nov 16, 2018 to Nov 10, 2021factForm ADV
← Andrew James ChristopherAdvisorregistration: previous registration
Nov 1, 2019 to Nov 10, 2021factForm ADV
← Olivian Traian PitisAdvisorregistration: previous registration
Sep 16, 2019 to Mar 11, 2021factForm ADV
← RACQUEL LEIGH KOLSRUDAdvisorregistration: previous registration
Jul 29, 2009 to Jun 24, 2011factForm ADV
← PETER RANDALL GORDONAdvisorregistration: previous registration
Feb 16, 2009 to Mar 14, 2011factForm ADV

Dated events

Occurred
Mar 31, 2023
Firm absorbed
Dowling & Yahnke, LLC's advisors moved to Corient (San Diego, CA): 20 of 20 registered, on the same day
Form ADVobserved 4 days ago
20 advisors
Occurred
Mar 31, 2023
Advisor changed firm
Kelly Ann Feldmann left Dowling & Yahnke, Llc for Corient (registered 2025-01-02)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Chris Martin Johnson left Dowling & Yahnke, Llc for Corient (registered 2025-01-01)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Matthew Ross Adams left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Michael S Brown left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Jacob Thomas Erlendson left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Jeffrey Michael Gohsler left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Andrew Yoontae Kim left Dowling & Yahnke, Llc for Corient (registered 2025-01-06)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
William Giles Beamer left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Elias Franchesco Vera left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Raymond Mark Wernig left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
John Michael Peters left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Kendrick Akira Uyeda left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Erik Henry Nelson left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Anna E. Diaz left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Michael Nowlan Strauss left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Robert Joseph Hanlon left Dowling & Yahnke, Llc for Corient (registered 2023-11-21)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Andrew Haines Mcnamara left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Brian Robert Hebert left Dowling & Yahnke, Llc for Corient (registered 2024-03-20)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Brett Ryan Pernicano left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Grant Allan Webster left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
Form ADVobserved 4 days ago
Occurred
Mar 1, 2023
Control person left
Joseph Mark Munoz (Chief Operating Officer) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2022-09-09, absent 2023-03-01)
Form ADVobserved 4 days ago
Occurred
Mar 1, 2023
Control person joined
Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Dowling & Yahnke, Llc
Form ADVobserved 4 days ago
Occurred
Jul 5, 2022
Advisor changed firm
Hunter Pearson Daniel left Dowling & Yahnke, Llc for Morton Wealth (registered 2022-07-08)
Form ADVobserved 4 days ago
Occurred
May 9, 2022
Advisor changed firm
Jason Michael Abbamonte left Dowling & Yahnke, Llc for New Millennium Group (registered 2022-07-06)
Form ADVobserved 4 days ago
Occurred
Jul 30, 2021
Control person joined
Rose Emily Zerbato (Chief Compliance Officer) appeared on Schedule A of Dowling & Yahnke, Llc
Form ADVobserved 4 days ago
Occurred
Jul 30, 2021
Control person left
Triston Larry Nakamura (Chief Compliance Officer) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2021-07-06, absent 2021-07-30)
Form ADVobserved 4 days ago
Occurred
Jul 1, 2021
Control person left
Christine Alana Asmussen (Shareholder) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2021-04-30, absent 2021-07-01)
Form ADVobserved 4 days ago
Occurred
Jul 1, 2021
Control person left
S Michael Brown (Shareholder) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2021-04-30, absent 2021-07-01)
Form ADVobserved 4 days ago
Occurred
Jul 1, 2021
Control person left
James Gregory Richardson (Shareholder) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2021-04-30, absent 2021-07-01)
Form ADVobserved 4 days ago
Occurred
Jul 1, 2021
Control person left
Mark Raymond Wernig (Shareholder) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2021-04-30, absent 2021-07-01)
Form ADVobserved 4 days ago
Occurred
Jul 1, 2021
Control person left
Ryan Brett Pernicano (Shareholder) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2021-04-30, absent 2021-07-01)
Form ADVobserved 4 days ago
Occurred
Jul 1, 2021
Control person left
E. Anna Diaz (Shareholder) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2021-04-30, absent 2021-07-01)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2021
Control person joined
E. Anna Diaz (Shareholder) appeared on Schedule A of Dowling & Yahnke, Llc
Form ADVobserved 4 days ago
Occurred
Jun 30, 2020
Control person joined
Ryan Brett Pernicano (Shareholder) appeared on Schedule A of Dowling & Yahnke, Llc
Form ADVobserved 4 days ago
Occurred
Mar 31, 2020
Control person joined
James Gregory Richardson (Shareholder) appeared on Schedule A of Dowling & Yahnke, Llc
Form ADVobserved 4 days ago
Occurred
Mar 31, 2020
Control person joined
Mark Raymond Wernig (Shareholder) appeared on Schedule A of Dowling & Yahnke, Llc
Form ADVobserved 4 days ago
Occurred
Jan 27, 2020
Control person joined
Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Dowling & Yahnke, Llc
Form ADVobserved 4 days ago
Occurred
Jan 27, 2020
Control person left
Lee Karrol Gibbs (Chief Compliance Officer) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2019-10-29, absent 2020-01-27)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2d7ad9a1-3618-0973-4eec-bba9300ca973
First observed: Mar 28, 2012
Last observed: Mar 1, 2023 43 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.

DOWLING & YAHNKE, LLC

CRD 107672

SAN DIEGO, 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:2d7ad9a1-3618-0973-4eec-bba9300ca973

Data as of Mar 1, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:31 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BEAMER, WILLIAM, GILES

President

yes

11/2013

Mar 28, 2012

Mar 1, 2023

CI FINANCIAL CORP.

Owner

yes

12/2019

Jul 1, 2021

Mar 1, 2023

CI PRIVATE WEALTH, LLC

OWNER & MANAGING MEMBER

yes

06/2021

Mar 1, 2023

CI US HOLDINGS, INC.

Owner

yes

09/2021

Mar 1, 2023

CIPW HOLDINGS, LLC

Owner

yes

01/2022

Mar 1, 2023

NAKAMURA, LARRY, TRISTON

CHIEF COMPLIANCE OFFICER

yes

02/2023

Jan 27, 2020

Mar 1, 2023

YAHNKE, DALE, EDWARD

CHIEF EXECUTIVE OFFICER

yes

09/2016

Mar 28, 2012

Mar 1, 2023

Zerbato, Emily, Rose

COMPLIANCE OFFICER

yes

02/2023

Jul 30, 2021

Mar 1, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CI PRIVATE WEALTH, LLC

n/a

Independent wealth

$165B

yes

n/a

PORTOLA PARTNERS GROUP LLC

n/a

Former SEC adviser

$5.6B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 31, 2022

$6.1B

$124M

n/a

2020

Mar 31, 2021

$5.5B

n/a

2019

Mar 31, 2020

$4.7B

n/a

2018

Mar 27, 2019

$3.8B

n/a

2017

Mar 29, 2018

$4.0B

n/a

2016

Mar 29, 2017

$3.4B

n/a

2015

Mar 25, 2016

$3.0B

n/a

2014

Mar 30, 2015

$2.9B

n/a

2013

Mar 31, 2014

$2.6B

n/a

2012

Mar 28, 2013

$2.2B

n/a

2011

Mar 28, 2012

$2.0B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$6.1B

$5.5B

11.6%

$3.8B

16.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Corient

Mar 31, 2023

Jan 6, 2025

SAN DIEGO, CA

Firm absorbed

RIA to ibd

100.0%