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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

BW & ASSOCIATES, INC.

BONNIE WUSZ & ASSOCIATES, INC., CRD 116471

ORANGE, 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:78ed1c09-aae1-4ad8-ede1-d9d0078a7852

Data as of Aug 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 4
On other graphs: 0
Observed: Aug 8, 2016 to Aug 27, 2026
21 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $693MItem 5.F on the latest filing (2026-08-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $693MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $346Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,229
Individual clients: 373
High net worth clients: 156
SEC number: 801-108260
CRD: 116471
Filings on the tape: 21
First filed: Aug 8, 2016
Latest filed: Aug 27, 2026
Organised: Corporation, CA
Website: bwandassociatesinc.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
BONNIE SUE WUSZ	Certified Financial Planner	ORANGE, CA	35	43	2	yes
LAUREL ANNE HACKETT	n/a	ORANGE, CA	12	27	n/a	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
HACKETT, LAUREL, ANNE	FINANCIAL ADVISOR	Na	yes	01/2020	Aug 8, 2016	Oct 11, 2024
WUSZ FAMILY TRUST DTD 6/4/1991	Owner	E	yes	06/1991	Aug 8, 2016	Oct 11, 2024
WUSZ, BONNIE, SUE	PRESIDENT (SECRETARY AND CFO)	Na	yes	06/1991	Aug 8, 2016	Oct 11, 2024
WUSZ, BONNIE, SUE	Trustee	D	yes	06/1991	Aug 8, 2016	Oct 11, 2024
WUSZ, TIMOTHY, NMN	Trustee	D	yes	06/1991	Aug 8, 2016	Oct 11, 2024
WUSZ, TIMOTHY, NMN	VICE PRESIDENT	Na	yes	06/1991	Aug 8, 2016	Oct 11, 2024
MITCHELL, TINA, LOUISE	CHIEF COMPLIANCE OFFICER	Na	no	07/2021	Jul 16, 2021	Oct 11, 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	Offices	Private funds	Fund GAV
2025	Jan 20, 2026	$693M	$0	5	2	0	n/a	n/a
2024	Mar 28, 2025	$615M	$0	6	2	0	n/a	n/a
2023	Mar 28, 2024	$523M	$0	5	2	0	n/a	n/a
2022	Mar 31, 2023	$443M	$0	5	2	0	n/a	n/a
2021	Mar 31, 2022	$562M	$0	5	2	0	n/a	n/a
2020	Mar 16, 2021	$499M	$0	6	2	0	n/a	n/a
2019	Feb 4, 2020	$426M	$0	6	3	0	n/a	n/a
2018	Mar 8, 2019	$384M	$0	4	4	1	n/a	n/a
2017	Mar 15, 2018	$303M	$0	4	4	1	n/a	n/a
2016	Feb 15, 2017	$168M	$0	4	4	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	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
2025	$693M	$615M	12.6%	$443M	16.1%	5	6	0	0

Relationships

Registered with (4)

← LAUREL ANNE HACKETTAdvisorregistration: current employment
Aug 5, 2014 to presentfactForm ADV
← BONNIE SUE WUSZAdvisorregistration: current employment
Nov 30, 1990 to presentfactForm ADV
← Sarah C BevinsAdvisorregistration: previous registration
Jul 14, 2015 to Aug 13, 2020factForm ADV
← Jennifer H. ShinAdvisorregistration: previous registration
Jul 12, 2014 to May 7, 2015factForm ADV

Controls (4)

← WUSZ, BONNIE, SUEOwnerTRUSTEE, ownership code D, individual
Aug 8, 2016 to Oct 11, 2024factForm ADV
← HACKETT, LAUREL, ANNEOwnerFINANCIAL ADVISOR, ownership code NA, individual
Aug 8, 2016 to Oct 11, 2024factForm ADV
← WUSZ, TIMOTHY, NMNOwnerTRUSTEE, ownership code D, individual
Aug 8, 2016 to Oct 11, 2024factForm ADV
← WUSZ FAMILY TRUST DTD 6/4/1991OwnerOWNER, ownership code E, domestic entity
Aug 8, 2016 to Oct 11, 2024factForm ADV

Owns (1)

← MITCHELL, TINA, LOUISEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 16, 2021 to Oct 11, 2024factForm ADV

Dated events

Occurred
Jul 16, 2021
Control person left
Cheree Carrie Haarberg (Chief Compliance Officer) no longer on Schedule A of Bw & Associates, Inc. (listed 2021-03-16, absent 2021-07-16)
Form ADVobserved 6 days ago
Occurred
Feb 4, 2020
Control person joined
Cheree Carrie Haarberg (Chief Compliance Officer) appeared on Schedule A of Bw & Associates, Inc.
Form ADVobserved 6 days ago
Occurred
Mar 15, 2018
Regulatory AUM changed
Bw & Associates, Inc. reported RAUM $303.3M, up 80% from $168.1M (2017-11-01 to 2018-03-15)
Form ADVobserved 6 days ago
$135M
Occurred
Aug 8, 2016
First Form ADV filing
Bw & Associates, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78ed1c09-aae1-4ad8-ede1-d9d0078a7852
First observed: Aug 8, 2016
Last observed: Aug 27, 2026 25 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.

BW & ASSOCIATES, INC.

BONNIE WUSZ & ASSOCIATES, INC., CRD 116471

ORANGE, 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:78ed1c09-aae1-4ad8-ede1-d9d0078a7852

Data as of Aug 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:03 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BONNIE SUE WUSZ

Certified Financial Planner

ORANGE, CA

yes

LAUREL ANNE HACKETT

n/a

ORANGE, CA

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HACKETT, LAUREL, ANNE

FINANCIAL ADVISOR

yes

01/2020

Aug 8, 2016

Oct 11, 2024

WUSZ FAMILY TRUST DTD 6/4/1991

Owner

yes

06/1991

Aug 8, 2016

Oct 11, 2024

WUSZ, BONNIE, SUE

PRESIDENT (SECRETARY AND CFO)

yes

06/1991

Aug 8, 2016

Oct 11, 2024

WUSZ, BONNIE, SUE

Trustee

yes

06/1991

Aug 8, 2016

Oct 11, 2024

WUSZ, TIMOTHY, NMN

Trustee

yes

06/1991

Aug 8, 2016

Oct 11, 2024

WUSZ, TIMOTHY, NMN

VICE PRESIDENT

yes

06/1991

Aug 8, 2016

Oct 11, 2024

MITCHELL, TINA, LOUISE

CHIEF COMPLIANCE OFFICER

07/2021

Jul 16, 2021

Oct 11, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 20, 2026

$693M

n/a

2024

Mar 28, 2025

$615M

n/a

2023

Mar 28, 2024

$523M

n/a

2022

Mar 31, 2023

$443M

n/a

2021

Mar 31, 2022

$562M

n/a

2020

Mar 16, 2021

$499M

n/a

2019

Feb 4, 2020

$426M

n/a

2018

Mar 8, 2019

$384M

n/a

2017

Mar 15, 2018

$303M

n/a

2016

Feb 15, 2017

$168M

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

$693M

$615M

12.6%

$443M

16.1%