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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

GOLDEN STATE WEALTH MANAGEMENT, LLC

CRD 167995

POWELL, WY

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:6da70adc-ed1d-5b55-1033-70757e65c021

Data as of Aug 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 80
Dated events: 20
On other graphs: 0
Observed: Mar 11, 2016 to Aug 4, 2026
90 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=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=45.0
Regulatory AUM: $2.2BItem 5.F on the latest filing (2026-08-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.2B
Private client RAUM: $2.2BderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 47
RAUM per advisor: $47.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 45
Advisory employees: 45
Offices: 26Schedule D 1.F, beyond the principal office
Accounts: 7,029
Individual clients: 2,464
High net worth clients: 1,655
SEC number: 801-107445
CRD: 167995
Filings on the tape: 90
First filed: Mar 11, 2016
Latest filed: Aug 4, 2026
Organised: Limited Liability Company, CA
Website: buroakwm.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 47

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
PATRICK MICHAEL JEFFS-CATONE	n/a	POWELL, WY \| FORT BRAGG, CA \| SOUTH COAST METRO, CA \| DALLAS, TX	13	15	4	yes
JOHN EMILE NAHAS	n/a	POWELL, WY \| DALLAS, TX \| SOUTH COAST METRO, CA	12	25	2	no
DAVID ANDREW BRUCE KING	n/a	POWELL, WY	11	21	1	yes
BRADLEY L FALLON	n/a	POWELL, WY	11	20	1	yes
JAMES DAVID GOETZ	n/a	POWELL, WY	11	19	1	yes
KYLE FAIRALL	n/a	Fort Bragg, CA \| FORT BRAGG, CA \| POWELL, WY	11	12	1	yes
SANDRA YOUNG MEE CHO	n/a	Encino, CA \| POWELL, WY	11	23	3	yes
KEITH CHRISTOPHER MARTEL	n/a	Woodland Hills, CA \| POWELL, WY	10	22	5	yes
REESUK ISAAC KIM	n/a	Torrance, CA \| POWELL, WY	10	32	2	yes
FREDRIC HUNTER JURMU	n/a	ESCANABA, MI \| POWELL, WY	10	39	3	yes
EARL BERNARD RIDEAU	n/a	Pasadena, CA \| POWELL, WY	10	36	4	yes
Johnny Alfonso Ceballos	Certified Financial Planner	POWELL, WY \| Yuba City, CA	10	18	3	yes
Matthew Edward Swanson	n/a	POWELL, WY \| Dixon, CA	9	29	1	yes
MARIO ORLANDO VASQUEZ	n/a	POWELL, WY	9	18	2	yes
JAY DUANE CHAMPLAIN	n/a	Santa Monica, CA \| POWELL, WY	9	43	1	yes
ROBERT ALAN MILLS	n/a	POWELL, WY \| Westlake Village, CA	9	46	3	yes
ASHLEY ELIZABETH CURIEL	Certified Financial Planner	POWELL, WY \| Reno, NV	9	19	1	yes
Gabriella Ingrid Lundqvist	n/a	El Dorado Hills, CA \| POWELL, WY	9	19	1	yes
JOHN JACOB ZEZINI	Certified Financial Planner	EL DORADO HILLS, CA \| GRANITE BAY, CA \| El Dorado Hills, CA \| POWELL, WY \| WESTLAKE VILLAGE, CA	8	30	2	yes
MICHAEL ANTHONY ROHLING	n/a	San Diego, CA \| SAN DIEGO, CA \| DALLAS, TX	8	24	4	yes
MATTHEW BLAIR AUCHARD	n/a	Encinitas, CA \| POWELL, WY	8	23	1	yes
KYLE ANDREW EMERSON	n/a	POWELL, WY	8	27	4	yes
SCOTT KEITH SMITH	n/a	POWELL, WY	8	25	4	yes
TRAVIS FAGO	n/a	POWELL, WY	8	25	4	yes
LINDA ANN ANSCHULTZ	n/a	Westlake Village, CA	7	33	3	yes

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
CATONE, DANIEL, ROBERT	MANAGING MEMBER	C	yes	05/2013	Aug 4, 2026	Aug 4, 2026
CATONE, PATRICK, MICHAEL	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	C	yes	05/2013	Aug 4, 2026	Aug 4, 2026
NAHAS, JOHN, EMILE	MANAGING MEMBER	C	yes	01/2016	Aug 4, 2026	Aug 4, 2026

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
GOLDEN STATE EQUITY ADVISORS, LLC	n/a	Former SEC adviser	$405M	N	yes	n/a
GOLDEN STATE ASSET MANAGEMENT, LLC	n/a	Former SEC adviser	$218M	N	yes	n/a
REDWOOD INVESTMENT GROUP, INC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
SOUTH COAST METRO	CA	United States	7	yes
Beaverton	Or	United States	5	no
EL DORADO HILLS	CA	United States	3	yes
Encino	CA	United States	3	yes
SANTA MARIA	CA	United States	3	yes
Carlsbad	CA	United States	2	yes
Riverside	CA	United States	2	yes
SAN DIEGO	CA	United States	2	yes
SANTA MONICA	CA	United States	2	yes
SANTA ROSA	CA	United States	2	yes
WESTLAKE VILLAGE	CA	United States	2	yes
Gilbert	Az	United States	1	yes
Dixon	CA	United States	1	yes
Encinitas	CA	United States	1	yes
GRANITE BAY	CA	United States	1	yes
LAGUNA BEACH	CA	United States	1	yes
Lakeport	CA	United States	1	yes
Lakeport	CA	United States	1	yes
Napa	CA	United States	1	yes
Torence	CA	United States	1	yes
WALNUT CREEK	CA	United States	1	yes
WOODLAND HILLS	CA	United States	1	yes
YUBA CITY	CA	United States	1	yes
YUBA CITY	CA	United States	1	yes
GRAND JUNCTION	Co	United States	1	yes
Missoula	Mt	United States	1	yes
INCLINE VILLAGE	Nv	United States	1	yes
Reno	Nv	United States	1	yes
Houston	TX	United States	1	yes
n/a	n/a	n/a	1	yes

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 10 of 13

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026	$2.2B	$2.2B	45	45	26	n/a	n/a
2024	Mar 28, 2025	$1.8B	$1.8B	47	47	34	n/a	n/a
2023	Mar 21, 2024	$1.7B	$1.7B	53	51	34	n/a	n/a
2022	Mar 29, 2023	$1.4B	$1.4B	79	51	34	n/a	n/a
2021	Feb 14, 2022	$1.5B	$1.5B	76	53	34	n/a	n/a
2020	Mar 25, 2021	$1.1B	$1.1B	59	43	34	n/a	n/a
2019	Mar 13, 2020	$990M	$990M	34	34	31	n/a	n/a
2018	Feb 17, 2019	$711M	$666M	39	35	22	n/a	n/a
2017	Jan 24, 2018	$545M	$545M	40	30	21	n/a	n/a
2016	Feb 17, 2017	$294M	$294M	41	29	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
5	4	1	8.5%	0	2	0	10	9

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	$2.2B	$1.8B	20.7%	$1.4B	16.1%	45	47	26	34

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
LPL FINANCIAL LLC	3	Jul 10, 2024	Jul 11, 2024	POWELL, WY	Team lift out	RIA to ibd	6.8%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OGDEN WEALTH MANAGEMENT & PLANNING SERVICES, LLC	2	Feb 15, 2019	Jul 10, 2019	SANTA MARIA, CA	Team lift out	Other	100.0%
INDEPENDENT FINANCIAL PARTNERS	3	Sep 5, 2018	Sep 4, 2018	APPLE VALLEY, CA	Team lift out	Ibd to RIA	0.8%
MORGAN STANLEY	2	Jan 23, 2017	Jan 17, 2019	WESTLAKE VILLAGE, CA	Team lift out	Other	0.0%
EDWARD JONES	2	Aug 25, 2016	Sep 27, 2016	YUBA CITY, CA	Team lift out	Other	0.0%
J.P. MORGAN SECURITIES LLC	2	Aug 9, 2016	Aug 3, 2016	COSTA MESA, CA	Team lift out	Other	0.1%

Relationships

Affiliated with (7)

→ GOLDEN STATE EQUITY ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ GOLDEN STATE ASSET MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
← ASCENTIS ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← ASCENTIS INDEPENDENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← REDWOOD INVESTMENT GROUP, INCRegistered adviserother investment adviser, common control
factForm ADV
← GOLDEN STATE EQUITY ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← GOLDEN STATE ASSET MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV

Registered with (65)

← Jordan WilliamsAdvisorregistration: current employment
May 19, 2026 to presentfactForm ADV
← Zachary Adam MillerAdvisorregistration: current employment
Feb 12, 2026 to presentfactForm ADV
← KATHERINE KERR STELLARAdvisorregistration: current employment
Jan 7, 2026 to presentfactForm ADV
← ANDREW CARL FISCINAAdvisorregistration: current employment
Jan 5, 2026 to presentfactForm ADV
← Matthew Hui Paul MontefuscoAdvisorregistration: current employment
Jan 2, 2026 to presentfactForm ADV
← Conrad D TravassosAdvisorregistration: current employment
Oct 15, 2025 to presentfactForm ADV
← Thomas ChiaromonteAdvisorregistration: current employment
Sep 23, 2025 to presentfactForm ADV
← Paul TokarAdvisorregistration: current employment
Jun 20, 2025 to presentfactForm ADV
← BLAKE CONNOR ISAEFFAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← JOB ALEXANDER EAGLESONAdvisorregistration: current employment
Dec 17, 2024 to presentfactForm ADV
← Robert Ben SchulteAdvisorregistration: current employment
May 21, 2024 to presentfactForm ADV
← Brett ElliottAdvisorregistration: current employment
Apr 23, 2024 to presentfactForm ADV
← Kathleen Sunshine Kim StephensAdvisorregistration: current employment
Mar 14, 2024 to presentfactForm ADV
← EDWARD A SUEROAdvisorregistration: current employment
Jun 5, 2023 to presentfactForm ADV
← Kreat Antony LewisAdvisorregistration: current employment
Nov 7, 2022 to presentfactForm ADV
← Justin Robert PeekAdvisorregistration: current employment
May 6, 2022 to presentfactForm ADV
← DANIEL ROBERT CATONEAdvisorregistration: current employment
Dec 6, 2021 to presentfactForm ADV
← Matthew Thomas CatoneAdvisorregistration: current employment
Mar 8, 2021 to presentfactForm ADV
← CURTIS WILLIAM HOWARDAdvisorregistration: current employment
Jan 23, 2020 to presentfactForm ADV
← Alexandre MurphyAdvisorregistration: current employment
Oct 23, 2019 to presentfactForm ADV
← DAVID M OGDENAdvisorregistration: current employment
Jul 10, 2019 to presentfactForm ADV
← ROBERT ALAN OGDENAdvisorregistration: current employment
Feb 19, 2019 to presentfactForm ADV
← LINDA ANN ANSCHULTZAdvisorregistration: current employment
Jan 17, 2019 to presentfactForm ADV
← KYLE ANDREW EMERSONAdvisorregistration: current employment
Sep 4, 2018 to presentfactForm ADV
← SCOTT KEITH SMITHAdvisorregistration: current employment
Sep 4, 2018 to presentfactForm ADV
← TRAVIS FAGOAdvisorregistration: current employment
Sep 4, 2018 to presentfactForm ADV
← MATTHEW BLAIR AUCHARDAdvisorregistration: current employment
Aug 10, 2018 to presentfactForm ADV
← MICHAEL ANTHONY ROHLINGAdvisorregistration: current employment
Jul 6, 2018 to presentfactForm ADV
← JOHN JACOB ZEZINIAdvisorregistration: current employment
Nov 14, 2017 to presentfactForm ADV
← Gabriella Ingrid LundqvistAdvisorregistration: current employment
Aug 21, 2017 to presentfactForm ADV
and 35 more

Controls (3)

← NAHAS, JOHN, EMILEOwnerMANAGING MEMBER, ownership code C, individual
Mar 11, 2016 to Nov 7, 2024factForm ADV
← CATONE, DANIEL, ROBERTOwnerMANAGING MEMBER, ownership code C, individual
Mar 11, 2016 to Nov 7, 2024factForm ADV
← CATONE, PATRICK, MICHAELOwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 11, 2016 to Nov 7, 2024factForm ADV

Moved with (5)

→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out, same day
Jul 10, 2024 to Jul 11, 2024factForm ADV
← MORGAN STANLEYRegistered adviser2 advisors, team lift out, same day
Jan 23, 2017 to Jan 17, 2019factForm ADV
← INDEPENDENT FINANCIAL PARTNERSRegistered adviser3 advisors, team lift out, same day
Sep 5, 2018 to Sep 4, 2018factForm ADV
← EDWARD JONESRegistered adviser2 advisors, team lift out
Aug 25, 2016 to Sep 27, 2016factForm ADV
← J.P. MORGAN SECURITIES LLCRegistered adviser2 advisors, team lift out, same day
Aug 9, 2016 to Aug 3, 2016factForm ADV

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 31, 2026
Advisor changed firm
Rodd Robert Miller left Golden State Wealth Management, Llc for Miller Wealth Management (registered 2026-08-28)
Form ADVobserved 6 days ago
Occurred
Jul 14, 2026
Advisor changed firm
James Reed Gerber left Golden State Wealth Management, Llc for Integris Wealth Management, Llc (registered 2026-08-05)
Form ADVobserved 6 days ago
Occurred
Apr 1, 2026
Advisor changed firm
Ryne Michael Mading left Golden State Wealth Management, Llc for Switchbacks Capital Advisory, Llc (registered 2026-03-30)
Form ADVobserved 6 days ago
Occurred
Jan 2, 2026
Advisor changed firm
Daniel Kennedy Poppers left Golden State Wealth Management, Llc for Lpl Financial Llc (registered 2024-10-17)
Form ADVobserved 6 days ago
Occurred
Sep 3, 2025
Advisor changed firm
Valerie Cynthia Krebs left Golden State Wealth Management, Llc for Lpl Financial Llc (registered 2025-11-17)
Form ADVobserved 6 days ago
Occurred
Jul 10, 2024
Team lift-out
2 advisors left Golden State Wealth Management, LLC (Powell, WY) for LPL Financial LLC on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Jul 10, 2024
Advisor changed firm
Kari Marie Raglione-Tissot left Golden State Wealth Management, Llc for Lpl Financial Llc (registered 2024-07-11)
Form ADVobserved 6 days ago
Occurred
Jul 10, 2024
Advisor changed firm
Kaitlyn Elizabeth Ott left Golden State Wealth Management, Llc for Lpl Financial Llc (registered 2025-01-02)
Form ADVobserved 6 days ago
Occurred
Jul 10, 2024
Advisor changed firm
Kristy Anne Motta left Golden State Wealth Management, Llc for Lpl Financial Llc (registered 2024-07-02)
Form ADVobserved 6 days ago
Occurred
Jul 10, 2024
Advisor changed firm
Andrew James Smith left Golden State Wealth Management, Llc for Lpl Financial Llc (registered 2024-07-11)
Form ADVobserved 6 days ago
Occurred
Dec 22, 2022
Advisor changed firm
Brian Jonathan Matz left Golden State Wealth Management, Llc for Lpl Financial Llc (registered 2022-12-15)
Form ADVobserved 6 days ago
Occurred
Feb 14, 2022
Regulatory AUM changed
Golden State Wealth Management, Llc reported RAUM $1.5B, up 43% from $1.1B (2021-04-19 to 2022-02-14)
Form ADVobserved 6 days ago
$466M
Occurred
Jan 3, 2022
Advisor changed firm
Andre William Dubois left Golden State Wealth Management, Llc for Lpl Financial Llc (registered 2022-02-01)
Form ADVobserved 6 days ago
Occurred
Mar 13, 2020
Regulatory AUM changed
Golden State Wealth Management, Llc reported RAUM $989.8M, up 39% from $710.9M (2020-02-03 to 2020-03-13)
Form ADVobserved 6 days ago
$279M
Occurred
Feb 17, 2019
Regulatory AUM changed
Golden State Wealth Management, Llc reported RAUM $710.9M, up 30% from $545.0M (2018-10-24 to 2019-02-17)
Form ADVobserved 6 days ago
$166M
Occurred
Jan 24, 2018
Regulatory AUM changed
Golden State Wealth Management, Llc reported RAUM $545.0M, up 85% from $294.2M (2017-11-14 to 2018-01-24)
Form ADVobserved 6 days ago
$251M
Occurred
Mar 11, 2016
First Form ADV filing
Golden State Wealth Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 3 bookkeeping events

Occurred
Mar 25, 2026
Golden State Wealth Management, Llc reported 26 offices beyond its principal office, down from 34 (2026-01-30 to 2026-03-25)
Occurred
Mar 25, 2021
Golden State Wealth Management, Llc reported 43 state-registered advisory representatives, up from 30 (2021-01-26 to 2021-03-25)
Occurred
Mar 13, 2020
Golden State Wealth Management, Llc reported 31 offices beyond its principal office, up from 24 (2020-02-03 to 2020-03-13)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6da70adc-ed1d-5b55-1033-70757e65c021
First observed: Mar 11, 2016
Last observed: Aug 4, 2026 48 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.

GOLDEN STATE WEALTH MANAGEMENT, LLC

CRD 167995

POWELL, WY

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:6da70adc-ed1d-5b55-1033-70757e65c021

Data as of Aug 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:31 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PATRICK MICHAEL JEFFS-CATONE

n/a

POWELL, WY | FORT BRAGG, CA | SOUTH COAST METRO, CA | DALLAS, TX

yes

JOHN EMILE NAHAS

n/a

POWELL, WY | DALLAS, TX | SOUTH COAST METRO, CA

DAVID ANDREW BRUCE KING

n/a

POWELL, WY

yes

BRADLEY L FALLON

n/a

POWELL, WY

yes

JAMES DAVID GOETZ

n/a

POWELL, WY

yes

KYLE FAIRALL

n/a

Fort Bragg, CA | FORT BRAGG, CA | POWELL, WY

yes

SANDRA YOUNG MEE CHO

n/a

Encino, CA | POWELL, WY

yes

KEITH CHRISTOPHER MARTEL

n/a

Woodland Hills, CA | POWELL, WY

yes

REESUK ISAAC KIM

n/a

Torrance, CA | POWELL, WY

yes

FREDRIC HUNTER JURMU

n/a

ESCANABA, MI | POWELL, WY

yes

EARL BERNARD RIDEAU

n/a

Pasadena, CA | POWELL, WY

yes

Johnny Alfonso Ceballos

Certified Financial Planner

POWELL, WY | Yuba City, CA

yes

Matthew Edward Swanson

n/a

POWELL, WY | Dixon, CA

yes

MARIO ORLANDO VASQUEZ

n/a

POWELL, WY

yes

JAY DUANE CHAMPLAIN

n/a

Santa Monica, CA | POWELL, WY

yes

ROBERT ALAN MILLS

n/a

POWELL, WY | Westlake Village, CA

yes

ASHLEY ELIZABETH CURIEL

Certified Financial Planner

POWELL, WY | Reno, NV

yes

Gabriella Ingrid Lundqvist

n/a

El Dorado Hills, CA | POWELL, WY

yes

JOHN JACOB ZEZINI

Certified Financial Planner

EL DORADO HILLS, CA | GRANITE BAY, CA | El Dorado Hills, CA | POWELL, WY | WESTLAKE VILLAGE, CA

yes

MICHAEL ANTHONY ROHLING

n/a

San Diego, CA | SAN DIEGO, CA | DALLAS, TX

yes

MATTHEW BLAIR AUCHARD

n/a

Encinitas, CA | POWELL, WY

yes

KYLE ANDREW EMERSON

n/a

POWELL, WY

yes

SCOTT KEITH SMITH

n/a

POWELL, WY

yes

TRAVIS FAGO

n/a

POWELL, WY

yes

LINDA ANN ANSCHULTZ

n/a

Westlake Village, CA

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CATONE, DANIEL, ROBERT

MANAGING MEMBER

yes

05/2013

Aug 4, 2026

CATONE, PATRICK, MICHAEL

MANAGING MEMBER & CHIEF COMPLIANCE OFFICER

yes

05/2013

Aug 4, 2026

NAHAS, JOHN, EMILE

MANAGING MEMBER

yes

01/2016

Aug 4, 2026

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GOLDEN STATE EQUITY ADVISORS, LLC

n/a

Former SEC adviser

$405M

yes

n/a

GOLDEN STATE ASSET MANAGEMENT, LLC

n/a

Former SEC adviser

$218M

yes

n/a

REDWOOD INVESTMENT GROUP, INC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SOUTH COAST METRO

United States

yes

Beaverton

United States

EL DORADO HILLS

United States

yes

Encino

United States

yes

SANTA MARIA

United States

yes

Carlsbad

United States

yes

Riverside

United States

yes

SAN DIEGO

United States

yes

SANTA MONICA

United States

yes

SANTA ROSA

United States

yes

WESTLAKE VILLAGE

United States

yes

Gilbert

United States

yes

Dixon

United States

yes

Encinitas

United States

yes

GRANITE BAY

United States

yes

LAGUNA BEACH

United States

yes

Lakeport

United States

yes

Lakeport

United States

yes

Napa

United States

yes

Torence

United States

yes

WALNUT CREEK

United States

yes

WOODLAND HILLS

United States

yes

YUBA CITY

United States

yes

YUBA CITY

United States

yes

GRAND JUNCTION

United States

yes

Missoula

United States

yes

INCLINE VILLAGE

United States

yes

Reno

United States

yes

Houston

United States

yes

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 25, 2026

$2.2B

n/a

2024

Mar 28, 2025

$1.8B

n/a

2023

Mar 21, 2024

$1.7B

n/a

2022

Mar 29, 2023

$1.4B

n/a

2021

Feb 14, 2022

$1.5B

n/a

2020

Mar 25, 2021

$1.1B

n/a

2019

Mar 13, 2020

$990M

n/a

2018

Feb 17, 2019

$711M

$666M

n/a

2017

Jan 24, 2018

$545M

n/a

2016

Feb 17, 2017

$294M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

8.5%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.2B

$1.8B

20.7%

$1.4B

16.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Jul 10, 2024

Jul 11, 2024

POWELL, WY

Team lift out

RIA to ibd

6.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OGDEN WEALTH MANAGEMENT & PLANNING SERVICES, LLC

Feb 15, 2019

Jul 10, 2019

SANTA MARIA, CA

Team lift out

Other

100.0%

INDEPENDENT FINANCIAL PARTNERS

Sep 5, 2018

Sep 4, 2018

APPLE VALLEY, CA

Team lift out

Ibd to RIA

0.8%

MORGAN STANLEY

Jan 23, 2017

Jan 17, 2019

WESTLAKE VILLAGE, CA

Team lift out

Other

0.0%

EDWARD JONES

Aug 25, 2016

Sep 27, 2016

YUBA CITY, CA

Team lift out

Other

0.0%

J.P. MORGAN SECURITIES LLC

Aug 9, 2016

Aug 3, 2016

COSTA MESA, CA

Team lift out

Other

0.1%