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CRD 106079
NEWPORT BEACH, 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 |
|---|---|---|---|---|---|---|
| M•••••• J• N••••••••• | Certified Financial Planner | NEWPORT BEACH, CA | 22 | 27 | n/a | no |
| M••• E•••••••• S••••• | Chartered Financial Analyst | NEWPORT BEACH, CA | 12 | 31 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| N••••••••• M••••••• J• | MANAGING DIRECTOR | B | yes | 01/2006 | Mar 26, 2026 | Mar 26, 2026 |
| S•••••• M•••• E•••••••• | CHIEF COMPLIANCE OFFICER | A | yes | 01/2016 | Mar 26, 2026 | Mar 26, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SCOTTSD••• | Az | United States | 2 | no |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $954M | $967M | -1.4% | $759M | 7.9% | 8 | 8 | 0 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| F•••••••• F••••• O••••• | 4 | Nov 4, 2021 | Jan 21, 2022 | PHOENIX, AZ | Firm absorbed | RIA to new firm | 50.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| V•••••• C•••••• M••••••••• I••• | 2 | May 13, 2019 | May 31, 2019 | PHOENIX, AZ | Team lift out | RIA to RIA | 20.0% |
| no |
| K•• X•••• | Chartered Financial Analyst | NEWPORT BEACH, CA | 3 | 14 | n/a | no |
| L•••• A•• T••••• | Certified Financial Planner | NEWPORT BEACH, CA | 1 | 41 | n/a | no |
| C••••• M•••••• M•••• | n/a | NEWPORT BEACH, CA | 1 | 11 | n/a | no |
| T•••••• J••••• R••• | n/a | NEWPORT BEACH, CA | 0 | 9 | n/a | no |
| PRESIDENT / CHIEF EXECUTIVE OFFICER |
| D |
| yes |
| 06/1985 |
| Mar 29, 2012 |
| Mar 13, 2024 |
| Mar 26, 2026 |
| $954M |
| $954M |
| 8 |
| 6 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 29, 2025 | $967M | $967M | 8 | 6 | 1 | n/a | n/a |
| 2023 | Mar 13, 2024 | $874M | $874M | 9 | 6 | 1 | n/a | n/a |
| 2022 | Mar 22, 2023 | $759M | $759M | 11 | 6 | 1 | n/a | n/a |
| 2021 | Mar 18, 2022 | $1.0B | $1.0B | 11 | 6 | 1 | n/a | n/a |
| 2020 | Mar 17, 2021 | $841M | $841M | 11 | 11 | 2 | n/a | n/a |
| 2019 | Mar 29, 2020 | $723M | $723M | 9 | 9 | 1 | n/a | n/a |
| 2018 | Mar 21, 2019 | $603M | $603M | 7 | 7 | 1 | n/a | n/a |
| 2017 | Mar 24, 2018 | $609M | $609M | 6 | 4 | 0 | n/a | n/a |
| 2016 | Mar 29, 2017 | $519M | $519M | 9 | 6 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $431M | $431M | 7 | 4 | n/a | n/a | n/a |
| 2014 | Feb 20, 2015 | $412M | $412M | 6 | 4 | n/a | n/a | n/a |
| 2013 | Mar 25, 2014 | $405M | $405M | 6 | 4 | n/a | n/a | n/a |
| 2012 | Jan 18, 2013 | $302M | $302M | 5 | 3 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $253M | $253M | n/a | n/a | n/a | n/a | n/a |