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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

CRITERION WEALTH MANAGEMENT

CRITERION WEALTH MANAGEMENT INSURANCE SERVICES, INC., CRD 142180

VALENCIA, 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:85ecd7c8-d631-8abb-6204-d0e5d26c505b

Data as of Sep 10, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 9, 2011 to Sep 10, 2018
23 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: $58.3MItem 5.F on the latest filing (2018-09-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $58.3M
Private client RAUM: $58.3MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 107
Individual clients: 15
High net worth clients: 28
SEC number: 801-67247
CRD: 142180
Filings on the tape: 23
First filed: Dec 9, 2011
Latest filed: Sep 10, 2018
Organised: Corporation, California

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
GRAVETTE, ROBERT, ALLEN	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	05/2000	Dec 9, 2011	Sep 10, 2018

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
2017	Mar 29, 2018	$59.6M	$59.6M	2	2	0	n/a	n/a
2016	Mar 31, 2017	$190M	$190M	4	3	n/a	n/a	n/a
2015	Mar 30, 2016	$182M	$182M	4	3	n/a	n/a	n/a
2014	Mar 23, 2015	$186M	$186M	3	2	n/a	n/a	n/a
2013	Mar 18, 2014	$181M	$181M	3	2	n/a	n/a	n/a
2012	Apr 1, 2013	$161M	$161M	2	2	n/a	n/a	n/a
2011	Mar 13, 2012	$154M	$154M	n/a	n/a	n/a	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
2017	$58.3M	$190M	-69.4%	$186M	-32.1%	3	4	0	n/a

Relationships

Controls (1)

← GRAVETTE, ROBERT, ALLENOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 9, 2011 to presentfactForm ADV

Registered with (3)

← MARK ANDREW MACARTHURAdvisorregistration: previous registration
Jan 2, 2008 to Aug 15, 2017factForm ADV
← STEPHEN PAUL NIEDNAGELAdvisorregistration: previous registration
Oct 30, 2008 to Jul 6, 2009factForm ADV
← DANIEL DEANS NIEDNAGELAdvisorregistration: previous registration
Oct 30, 2008 to Jul 6, 2009factForm ADV

Dated events

Occurred
Mar 29, 2018
Regulatory AUM changed
Criterion Wealth Management reported RAUM $59.6M, down 69% from $190.5M (2017-03-31 to 2018-03-29)
Form ADVobserved 5 days ago
$-131M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85ecd7c8-d631-8abb-6204-d0e5d26c505b
First observed: Dec 9, 2011
Last observed: Sep 10, 2018 97 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.

CRITERION WEALTH MANAGEMENT

CRITERION WEALTH MANAGEMENT INSURANCE SERVICES, INC., CRD 142180

VALENCIA, 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:85ecd7c8-d631-8abb-6204-d0e5d26c505b

Data as of Sep 10, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:41 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GRAVETTE, ROBERT, ALLEN

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

05/2000

Dec 9, 2011

Sep 10, 2018

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$59.6M

n/a

2016

Mar 31, 2017

$190M

n/a

2015

Mar 30, 2016

$182M

n/a

2014

Mar 23, 2015

$186M

n/a

2013

Mar 18, 2014

$181M

n/a

2012

Apr 1, 2013

$161M

n/a

2011

Mar 13, 2012

$154M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$58.3M

$190M

-69.4%

$186M

-32.1%

n/a