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CRD 166606
LAGUNA NIGUEL, 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 |
|---|---|---|---|---|---|---|
| J•• A••• K•••• | n/a | Escondido, CA | LAGUNA NIGUEL, CA | 12 | 34 | 3 | yes |
| T••••• J••• W••• | Certified Financial Planner | Mission Viejo, CA | 12 | 40 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••• F•••••••• G••••• L•• | MANAGING MEMBER | E | yes | 01/2013 | Jan 23, 2013 | Sep 23, 2024 |
| R••••••• R••••••• J•••• | ELECTED MANAGER | E | yes | 01/2012 | Jan 23, 2013 | Sep 23, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| T••• I••••••• S••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| T••• W••••• M••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| MISSION VIEJO | CA | United States | 2 | no |
| Manitowoc | Wi | United States | 2 | no |
| ANAHEIM HILLS | CA | United States | 1 | no |
| Calabasas | CA | United States | 1 | no |
| Camarillo | CA | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 4 | 0 | 4 | 0.0% | 0 | 0 | 0 | 7 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $639M | $575M | 11.2% | $451M | 12.4% | 27 | 27 | 23 | 21 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B•••••••• A•••• M••••••••• L•• | 2 | Mar 9, 2016 | Nov 8, 2022 | LAGUNA NIGUEL, CA | Team lift out | Other | 33.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C••••• • A••••••••• I••• | 3 | Feb 26, 2015 | Oct 9, 2015 | NEWPORT BEACH, CA | Team lift out | Other | 3.9% |
| yes |
| R•••••• J••••• M•••••• | n/a | Truchas, NM | LAGUNA NIGUEL, CA | 12 | 28 | 2 | yes |
| T•••• D••••• D••••• | Certified Financial Planner | LAGUNA NIGUEL, CA | Camarillo, CA | 10 | 21 | 3 | yes |
| W•••••• N•••• J•••••• | n/a | LAGUNA NIGUEL, CA | Smoky Lake, Alberta | 9 | 35 | 4 | yes |
| E••• M••••• W••••••• | n/a | LAGUNA NIGUEL, CA | Mission Viejo, CA | 9 | 34 | 5 | yes |
| P••• J••••••• T••••• | n/a | LAGUNA NIGUEL, CA | Anaheim Hills, CA | 8 | 43 | 1 | yes |
| W•••••• G••••• K•••• | n/a | Calabasas, CA | LAGUNA NIGUEL, CA | 8 | 28 | 1 | yes |
| R••••• L•• M•••• | n/a | LAGUNA NIGUEL, CA | Canton, OH | 8 | 24 | 2 | yes |
| S••••• L•• H••••• | n/a | SPOKANE Valley, WA | LAGUNA NIGUEL, CA | 8 | 34 | 1 | no |
| W•••• O•• T•• | n/a | La Habra, CA | LAGUNA NIGUEL, CA | 8 | 26 | 6 | yes |
| M•••••• E••••• H•••• | n/a | LAGUNA NIGUEL, CA | Manitowoc, WI | 7 | 29 | 2 | yes |
| T•••••• D• S••••• | n/a | Willow :Park, TX | LAGUNA NIGUEL, CA | 7 | 25 | 1 | yes |
| A••••• A•• L••••••• | n/a | Camarillo, CA | LAGUNA NIGUEL, CA | 7 | 14 | n/a | yes |
| G•••••• R••• G•••• | n/a | Irvine, CA | LAGUNA NIGUEL, CA | 6 | 20 | 2 | yes |
| R•••••• A• A•••••• | n/a | LAGUNA NIGUEL, CA | Basalt, CO | 6 | 39 | 4 | yes |
| T•••• L•• F•••••• | n/a | Laguna Niguel, CA | LAGUNA NIGUEL, CA | 6 | 11 | n/a | no |
| D•• M• D•••• | n/a | LAGUNA NIGUEL, CA | Green Bay, WI | 6 | 40 | 3 | yes |
| E••• N•••••• | n/a | Redondo Beach, CA | LAGUNA NIGUEL, CA | 6 | 30 | 2 | yes |
| S••••• E••• J••••• | n/a | LAGUNA NIGUEL, CA | 5 | 25 | 2 | yes |
| M•••••• J••• H•••••• | n/a | Oak Harbor, WA | LAGUNA NIGUEL, CA | 4 | 9 | 1 | yes |
| P•••• J••••• G••••••• | n/a | Brookfield, WI | LAGUNA NIGUEL, CA | 3 | 43 | 1 | no |
| S••••• A••••• K••• | n/a | LAGUNA NIGUEL, CA | Corpus Christi, TX | 2 | 10 | 2 | yes |
| C••• L•••• H•••••• | n/a | Austin, TX | LAGUNA NIGUEL, CA | 2 | 30 | 7 | yes |
| B••••• B••••• B•••• | Certified Financial Planner | LAGUNA NIGUEL, CA | San Clemente, CA | 1 | 19 | 5 | yes |
| President |
| Na |
| yes |
| 12/2013 |
| Jan 23, 2013 |
| Sep 23, 2024 |
| T••••• D•••••• M•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2023 | Sep 5, 2023 | Sep 23, 2024 |
| no |
| Escondido | CA | United States | 1 | no |
| REDONDO BEACH | CA | United States | 1 | no |
| Basalt | Co | United States | 1 | no |
| Omaha | Ne | United States | 1 | no |
| LAS VEGAS | Nv | United States | 1 | no |
| Canton | Oh | United States | 1 | no |
| WILLOW :PARK | TX | United States | 1 | no |
| Brookfield | Wi | United States | 1 | yes |
| GREEN BAY | Wi | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Apr 29, 2026 |
| $639M |
| $639M |
| 27 |
| 25 |
| 23 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $575M | $575M | 27 | 25 | 21 | n/a | n/a |
| 2023 | Mar 28, 2024 | $507M | $507M | 25 | 24 | 19 | n/a | n/a |
| 2022 | Mar 31, 2023 | $451M | $447M | 33 | 32 | 25 | n/a | n/a |
| 2021 | Mar 31, 2022 | $540M | $515M | 35 | 29 | 0 | n/a | n/a |
| 2020 | Mar 25, 2021 | $460M | $432M | 30 | 30 | 0 | n/a | n/a |
| 2019 | Apr 30, 2020 | $403M | $340M | 22 | 22 | 0 | n/a | n/a |
| 2018 | Mar 30, 2019 | $444M | $392M | 20 | 20 | 0 | n/a | n/a |
| 2017 | Mar 31, 2018 | $317M | $285M | 20 | 20 | 0 | n/a | n/a |
| 2016 | Mar 31, 2017 | $158M | $92.4M | 15 | 11 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $200M | $144M | 13 | 11 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $139M | $80.4M | 13 | 11 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $100M | $68.6M | 3 | 3 | n/a | n/a | n/a |