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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SUREVEST WEALTH MANAGEMENT

SUREVEST INC., CRD 122369

PHOENIX, AZ

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:380e0c5c-9c50-e047-cf93-ca785c8e9f39

Data as of Jan 24, 2020 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 0
Observed: Feb 16, 2018 to Jan 24, 2020
22 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: $382MItem 5.F on the latest filing (2020-01-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $356M
Private client RAUM: $382MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 10
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 772
Individual clients: 183
High net worth clients: 93
SEC number: 801-112653
CRD: 122369
Filings on the tape: 22
First filed: Feb 16, 2018
Latest filed: Jan 24, 2020
Organised: Corporation, Arizona

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
LUNA, ROBERT, J	CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO	E	yes	01/2002	Feb 16, 2018	Jan 24, 2020

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
LONG BEACH	CA	United States	4	no
SAN DIEGO	CA	United States	1	no
LAS VEGAS	Nv	United States	1	no

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
2019	Jan 24, 2020	$382M	$356M	10	10	3	n/a	n/a
2018	Jan 22, 2019	$236M	$214M	8	8	5	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
2019	$382M	$236M	61.6%	n/a	n/a	10	8	3	5

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
SUREVEST PRIVATE WEALTH	4	Feb 7, 2020	Feb 7, 2020	PHOENIX, AZ	Firm absorbed	RIA to RIA	50.0%
SUREVEST PRIVATE WEALTH	4	Feb 7, 2020	Jan 16, 2020	NEWPORT BEACH, CA	Firm absorbed	RIA to RIA	50.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CROWN CAPITAL SECURITIES, L.P.	2	Jul 18, 2017	Sep 17, 2012	LAS VEGAS, NV	Team lift out	Other	1.9%

Relationships

Controls (1)

← LUNA, ROBERT, JOwnerCHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO, ownership code E, individual
Feb 16, 2018 to presentfactForm ADV

Moved with (2)

→ SUREVEST PRIVATE WEALTHRegistered adviser4 advisors, firm absorbed, same day
Feb 7, 2020 to Feb 7, 2020factForm ADV
← CROWN CAPITAL SECURITIES, L.P.Registered adviser2 advisors, team lift out, same day
Jul 18, 2017 to Sep 17, 2012factForm ADV

Registered with (11)

← JEREMY A KISNERAdvisorregistration: previous registration
Feb 2, 2009 to Feb 7, 2020factForm ADV
← PETER R BURNHAMAdvisorregistration: previous registration
Mar 20, 2018 to Feb 7, 2020factForm ADV
← Breanne Nicole PoloniaAdvisorregistration: previous registration
Sep 10, 2018 to Feb 7, 2020factForm ADV
← Luis A GaldamezAdvisorregistration: previous registration
Jan 30, 2018 to Feb 7, 2020factForm ADV
← HADDY ALEXANDER HOMAMPOURAdvisorregistration: previous registration
Jan 30, 2018 to Feb 7, 2020factForm ADV
← ALEXANDER HARRISON KELLERAdvisorregistration: previous registration
Mar 8, 2019 to Feb 7, 2020factForm ADV
← Moriah RanadeAdvisorregistration: previous registration
Oct 22, 2019 to Feb 7, 2020factForm ADV
← Levi James BrownAdvisorregistration: previous registration
Feb 28, 2019 to Feb 7, 2020factForm ADV
← CHRISTINA JENNY MANGINOAdvisorregistration: previous registration
Sep 17, 2012 to Apr 5, 2019factForm ADV
← BRANDON JOHN NACHMANAdvisorregistration: previous registration
Nov 14, 2014 to Jan 31, 2018factForm ADV
← PHILLIP JOSEPH RANDAZZOAdvisorregistration: previous registration
Sep 14, 2012 to May 24, 2013factForm ADV

Dated events

Occurred
Feb 16, 2018
First Form ADV filing
Surevest Wealth Management filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:380e0c5c-9c50-e047-cf93-ca785c8e9f39
First observed: Feb 16, 2018
Last observed: Jan 24, 2020 80 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.

SUREVEST WEALTH MANAGEMENT

SUREVEST INC., CRD 122369

PHOENIX, AZ

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:380e0c5c-9c50-e047-cf93-ca785c8e9f39

Data as of Jan 24, 2020 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:51 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LUNA, ROBERT, J

CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO

yes

01/2002

Feb 16, 2018

Jan 24, 2020

City

State

Country

Employees

Also broker-dealer

LONG BEACH

United States

SAN DIEGO

United States

LAS VEGAS

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Jan 24, 2020

$382M

$356M

n/a

2018

Jan 22, 2019

$236M

$214M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$382M

$236M

61.6%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SUREVEST PRIVATE WEALTH

Feb 7, 2020

PHOENIX, AZ

Firm absorbed

RIA to RIA

50.0%

SUREVEST PRIVATE WEALTH

Feb 7, 2020

Jan 16, 2020

NEWPORT BEACH, CA

Firm absorbed

RIA to RIA

50.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CROWN CAPITAL SECURITIES, L.P.

Jul 18, 2017

Sep 17, 2012

LAS VEGAS, NV

Team lift out

Other

1.9%