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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

WESTERN FINANCIAL CORPORATION

CRD 6118

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:3b0fb8b8-76de-560e-fff7-d0f477cff50b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Nov 21, 2019 to Sep 14, 2026
15 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=0.89 fund_share=0.0 institutional_share=0.04 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $414MItem 5.F on the latest filing (2026-09-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $414M
Private client RAUM: $369MderivedItem 5.D individuals plus high net worth individuals
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $138Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 2
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 483
Individual clients: 67
High net worth clients: 104
Custody, client assets: $245M
SEC number: 801-117841
CRD: 6118
Filings on the tape: 15
First filed: Nov 21, 2019
Latest filed: Sep 14, 2026
Organised: Corporation, CA

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
SANDIE TURLEY	n/a	SAN DIEGO, CA \| Mesa, AZ	9	26	2	no
RICHARD STEVEN LEVENSON	n/a	SAN DIEGO, CA \| Eagle, ID	9	39	1	no
Steven Mario Levenson	n/a	SAN DIEGO, CA \| Eagle, ID	6	11	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
LEVENSON, RICHARD, STEVEN	PRESIDENT, CEO, CCO & CIO (SINCE 12/2016), TRUSTEE OF THE RICHARD S. LEVENSON TRUST U/A 12/02/2014 (SINCE 04/2015)	Na	yes	12/2016	Nov 21, 2019	Oct 28, 2024
RICHARD S. LEVENSON TRUST U/A 12/02/2014	Shareholder	E	yes	04/2015	Nov 23, 2020	Oct 28, 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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2024	Oct 28, 2024	$261M	$261M	5	1	n/a	n/a
2023	Nov 3, 2023	$200M	$200M	5	1	n/a	n/a
2022	Oct 18, 2022	$185M	$185M	6	3	n/a	n/a
2021	Nov 12, 2021	$254M	$254M	6	2	n/a	n/a
2020	Nov 23, 2020	$184M	$184M	6	2	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	0

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
2024	$414M	$200M	107.0%	$254M	17.7%	6	5	2	0

Relationships

Registered with (5)

← Steven Mario LevensonAdvisorregistration: current employment
Dec 3, 2019 to presentfactForm ADV
← SANDIE TURLEYAdvisorregistration: current employment
Feb 13, 2017 to presentfactForm ADV
← RICHARD STEVEN LEVENSONAdvisorregistration: current employment
Feb 13, 2017 to presentfactForm ADV
← Grace Kinsey FinnAdvisorregistration: previous registration
Oct 18, 2022 to Sep 18, 2023factForm ADV
← DARREN J CARISAdvisorregistration: previous registration
Sep 26, 2018 to Sep 17, 2019factForm ADV

Controls (2)

← LEVENSON, RICHARD, STEVENOwnerPRESIDENT, CEO, CCO & CIO (SINCE 12/2016), TRUSTEE OF THE RICHARD S. LEVENSON TRUST U/A 12/02/2014 (SINCE 04/2015), ownership code NA, individual
Nov 21, 2019 to Oct 28, 2024factForm ADV
← RICHARD S. LEVENSON TRUST U/A 12/02/2014OwnerSHAREHOLDER, ownership code E, domestic entity
Nov 23, 2020 to Oct 28, 2024factForm ADV

Dated events

Occurred
Sep 18, 2023
Advisor changed firm
Grace Kinsey Finn left Western Financial Corporation for Cerity Partners Llc (registered 2023-09-15)
Form ADVobserved 4 days ago
Occurred
Nov 23, 2020
Control person left
Sandie Turley (Cfo/Finop/Prin Fin Officer/Prin Ops Officer) no longer on Schedule A of Western Financial Corporation (listed 2020-07-17, absent 2020-11-23)
Form ADVobserved 4 days ago
Occurred
Jul 17, 2020
Control person left
Howard Boyd Levenson (Chairman) no longer on Schedule A of Western Financial Corporation (listed 2020-06-10, absent 2020-07-17)
Form ADVobserved 4 days ago
Occurred
Nov 21, 2019
First Form ADV filing
Western Financial Corporation filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b0fb8b8-76de-560e-fff7-d0f477cff50b
First observed: Nov 21, 2019
Last observed: Sep 14, 2026 5 days 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.

WESTERN FINANCIAL CORPORATION

CRD 6118

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:3b0fb8b8-76de-560e-fff7-d0f477cff50b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:32 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

SANDIE TURLEY

n/a

SAN DIEGO, CA | Mesa, AZ

RICHARD STEVEN LEVENSON

n/a

SAN DIEGO, CA | Eagle, ID

Steven Mario Levenson

n/a

SAN DIEGO, CA | Eagle, ID

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LEVENSON, RICHARD, STEVEN

PRESIDENT, CEO, CCO & CIO (SINCE 12/2016), TRUSTEE OF THE RICHARD S. LEVENSON TRUST U/A 12/02/2014 (SINCE 04/2015)

yes

12/2016

Nov 21, 2019

Oct 28, 2024

RICHARD S. LEVENSON TRUST U/A 12/02/2014

Shareholder

yes

04/2015

Nov 23, 2020

Oct 28, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Oct 28, 2024

$261M

n/a

2023

Nov 3, 2023

$200M

n/a

2022

Oct 18, 2022

$185M

n/a

2021

Nov 12, 2021

$254M

n/a

2020

Nov 23, 2020

$184M

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

2024

$414M

$200M

107.0%

$254M

17.7%