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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

MRAZ AND ASSOCIATES

MRAZ, AMERINE & ASSOCIATES, INC., CRD 158338

MODESTO, 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:36d0cfa3-dee0-6586-3700-842ac2788e87

Data as of Jul 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Jan 20, 2012 to Jul 1, 2026
38 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=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $917MItem 5.F on the latest filing (2026-07-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $917M
Private client RAUM: $873MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $183Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,289
Individual clients: 252
High net worth clients: 221
Custody, client assets: $271M
SEC number: 801-72742
CIK: 1542324
CRD: 158338
Filings on the tape: 38
First filed: Jan 20, 2012
Latest filed: Jul 1, 2026
Organised: Corporation, CA
Website: mrazandassociates.com

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
DEIDRE MICHELLE MRAZ	n/a	MODESTO, CA	14	19	3	no
DAVID FREDERICK MRAZ	n/a	MODESTO, CA	14	40	3	no
BENJAMIN OSBORN JOHNSON	n/a	MODESTO, CA	11	12	n/a	no
Christopher Shaun Mraz	n/a	MODESTO, CA	5	16	n/a	no
Angela Gabriela Gomez Guerrero	n/a	Modesto, CA	1	10	n/a	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
MRAZ, DAVID, FREDERICK	Shareholder	C	yes	10/2011	Jan 20, 2012	Dec 5, 2024
MRAZ, DEIDRE, MICHELLE	SHAREHOLDER/CHIEF COMPLIANCE OFFICER	B	yes	10/2011	Jan 20, 2012	Dec 5, 2024
MRAZ, GLORIA, D	Shareholder	C	yes	10/2011	Jan 20, 2012	Dec 5, 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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 11, 2026	$917M	$917M	6	5	0	n/a	n/a
2024	Mar 17, 2025	$785M	$785M	7	6	0	n/a	n/a
2023	Mar 15, 2024	$653M	$653M	8	6	0	n/a	n/a
2022	Mar 15, 2023	$587M	$587M	8	6	0	n/a	n/a
2021	Mar 11, 2022	$566M	$566M	11	6	0	n/a	n/a
2020	Mar 17, 2021	$499M	$499M	8	5	0	n/a	n/a
2019	Mar 29, 2020	$415M	$415M	11	4	0	n/a	n/a
2018	Mar 11, 2019	$473M	$473M	10	5	0	n/a	n/a
2017	Feb 23, 2018	$467M	$467M	7	5	0	n/a	n/a
2016	Mar 3, 2017	$448M	$437M	7	5	n/a	n/a	n/a
2015	Mar 14, 2016	$381M	$372M	8	5	n/a	n/a	n/a
2014	Mar 24, 2015	$400M	$388M	7	5	n/a	n/a	n/a
2013	Mar 11, 2014	$354M	$342M	6	4	n/a	n/a	n/a
2012	Mar 11, 2013	$295M	$285M	6	4	n/a	n/a	n/a
2011	Jan 20, 2012	$251M	$242M	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
0	0	0	0.0%	0	0	0	0	2

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	$917M	$785M	16.9%	$587M	16.1%	6	7	0	0

Relationships

Registered with (7)

← Angela Gabriela Gomez GuerreroAdvisorregistration: current employment
Jan 18, 2025 to presentfactForm ADV
← Christopher Shaun MrazAdvisorregistration: current employment
Jun 3, 2021 to presentfactForm ADV
← BENJAMIN OSBORN JOHNSONAdvisorregistration: current employment
Feb 19, 2015 to presentfactForm ADV
← DEIDRE MICHELLE MRAZAdvisorregistration: current employment
Oct 24, 2011 to presentfactForm ADV
← DAVID FREDERICK MRAZAdvisorregistration: current employment
Oct 24, 2011 to presentfactForm ADV
← Malia Lydia Salas RussellAdvisorregistration: previous registration
Aug 3, 2020 to May 7, 2025factForm ADV
← Kalen Alexander DarlingAdvisorregistration: previous registration
Jul 15, 2020 to Jan 3, 2025factForm ADV

Controls (3)

← MRAZ, DEIDRE, MICHELLEOwnerSHAREHOLDER/CHIEF COMPLIANCE OFFICER, ownership code B, individual
Jan 20, 2012 to Dec 5, 2024factForm ADV
← MRAZ, GLORIA, DOwnerSHAREHOLDER, ownership code C, individual
Jan 20, 2012 to Dec 5, 2024factForm ADV
← MRAZ, DAVID, FREDERICKOwnerSHAREHOLDER, ownership code C, individual
Jan 20, 2012 to Dec 5, 2024factForm ADV

Dated events

Occurred
May 7, 2025
Advisor changed firm
Malia Lydia Salas Russell left Mraz And Associates for Destination Wealth Management (registered 2025-05-15)
Form ADVobserved 6 days ago
Occurred
Jan 3, 2025
Advisor changed firm
Kalen Alexander Darling left Mraz And Associates for Hub Investment Partners, Llc (registered 2025-01-20)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:36d0cfa3-dee0-6586-3700-842ac2788e87
First observed: Jan 20, 2012
Last observed: Jul 1, 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.

MRAZ AND ASSOCIATES

MRAZ, AMERINE & ASSOCIATES, INC., CRD 158338

MODESTO, 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:36d0cfa3-dee0-6586-3700-842ac2788e87

Data as of Jul 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DEIDRE MICHELLE MRAZ

n/a

MODESTO, CA

DAVID FREDERICK MRAZ

n/a

MODESTO, CA

BENJAMIN OSBORN JOHNSON

n/a

MODESTO, CA

n/a

Christopher Shaun Mraz

n/a

MODESTO, CA

n/a

Angela Gabriela Gomez Guerrero

n/a

Modesto, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MRAZ, DAVID, FREDERICK

Shareholder

yes

10/2011

Jan 20, 2012

Dec 5, 2024

MRAZ, DEIDRE, MICHELLE

SHAREHOLDER/CHIEF COMPLIANCE OFFICER

yes

10/2011

Jan 20, 2012

Dec 5, 2024

MRAZ, GLORIA, D

Shareholder

yes

10/2011

Jan 20, 2012

Dec 5, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 11, 2026

$917M

n/a

2024

Mar 17, 2025

$785M

n/a

2023

Mar 15, 2024

$653M

n/a

2022

Mar 15, 2023

$587M

n/a

2021

Mar 11, 2022

$566M

n/a

2020

Mar 17, 2021

$499M

n/a

2019

Mar 29, 2020

$415M

n/a

2018

Mar 11, 2019

$473M

n/a

2017

Feb 23, 2018

$467M

n/a

2016

Mar 3, 2017

$448M

$437M

n/a

2015

Mar 14, 2016

$381M

$372M

n/a

2014

Mar 24, 2015

$400M

$388M

n/a

2013

Mar 11, 2014

$354M

$342M

n/a

2012

Mar 11, 2013

$295M

$285M

n/a

2011

Jan 20, 2012

$251M

$242M

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

$917M

$785M

16.9%

$587M

16.1%