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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

DAVIES FINANCIAL ADVISORS, INC.

CRD 139764

MURRIETA, 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:9ee5d25f-2869-5b7c-d9db-769c03ffeda4

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 6
On other graphs: 0
Observed: Aug 15, 2022 to Mar 30, 2026
11 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=0.73 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $123MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $123M
Private client RAUM: $89.9MderivedItem 5.D individuals plus high net worth individuals
Private client share: 73%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $41.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 10
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 173
Individual clients: 104
High net worth clients: 21
Custody, client assets: $64.3M
SEC number: 801-126564
CRD: 139764
Filings on the tape: 11
First filed: Aug 15, 2022
Latest filed: Mar 30, 2026
Organised: Corporation, CA
Website: ajdavies.net

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
ANDREW JAMES DAVIES	Certified Financial Planner	SAN DIEGO, CA \| MURRIETA, CA	20	27	2	no
Justin Simmons	Certified Financial Planner	SAN DIEGO, CA \| MURRIETA, CA	3	18	5	no
Lyndsay Davies	n/a	SAN DIEGO, CA \| MURRIETA, CA	3	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
DAVIES, ANDREW, JAMES	PRESIDENT AND CCO	D	yes	01/2004	Aug 15, 2022	Sep 5, 2024
DAVIES, SHAUNIE, LEE	Shareholder	D	yes	01/2004	Aug 15, 2022	Sep 5, 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
2025	Mar 30, 2026	$123M	$123M	10	6	n/a	n/a
2024	Mar 12, 2025	$288M	$288M	11	7	n/a	n/a
2023	Mar 11, 2024	$165M	$165M	8	4	n/a	n/a
2022	Mar 3, 2023	$118M	$118M	7	4	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	1

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	$123M	$288M	-57.3%	$118M	1.3%	10	11	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
COMMONWEALTH FINANCIAL NETWORK	3	Oct 3, 2022	Sep 28, 2022	MURRIETA, CA	Team lift out	Ibd to RIA	0.1%

Relationships

Registered with (5)

← Lyndsay DaviesAdvisorregistration: current employment
Jun 26, 2023 to presentfactForm ADV
← Justin SimmonsAdvisorregistration: current employment
Sep 28, 2022 to presentfactForm ADV
← ANDREW JAMES DAVIESAdvisorregistration: current employment
May 8, 2006 to presentfactForm ADV
← Glori CrumpleyAdvisorregistration: previous registration
Sep 28, 2022 to May 20, 2025factForm ADV
← John Wu JrAdvisorregistration: previous registration
Sep 28, 2022 to Jul 26, 2023factForm ADV

Controls (2)

← DAVIES, ANDREW, JAMESOwnerPRESIDENT AND CCO, ownership code D, individual
Aug 15, 2022 to Sep 5, 2024factForm ADV
← DAVIES, SHAUNIE, LEEOwnerSHAREHOLDER, ownership code D, individual
Aug 15, 2022 to Sep 5, 2024factForm ADV

Moved with (1)

← COMMONWEALTH FINANCIAL NETWORKRegistered adviser3 advisors, team lift out, same day
Oct 3, 2022 to Sep 28, 2022factForm ADV

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
Davies Financial Advisors, Inc. reported RAUM $123.1M, down 57% from $288.2M (2025-03-12 to 2026-03-30)
Form ADVobserved 4 days ago
$-165M
Occurred
May 20, 2025
Advisor changed firm
Glori Crumpley left Davies Financial Advisors, Inc. for Ameriprise Financial Services, Llc (registered 2025-06-23)
Form ADVobserved 4 days ago
Occurred
Mar 12, 2025
Regulatory AUM changed
Davies Financial Advisors, Inc. reported RAUM $288.2M, up 74% from $165.3M (2024-09-05 to 2025-03-12)
Form ADVobserved 4 days ago
$123M
Occurred
Jul 26, 2023
Advisor changed firm
John Wu Jr left Davies Financial Advisors, Inc. for Charles Schwab & Co., Inc. (registered 2023-09-27)
Form ADVobserved 4 days ago
Occurred
Oct 3, 2022
Team lift-out
3 advisors left Commonwealth Financial Network (Murrieta, CA) for Davies Financial Advisors, Inc. on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Aug 15, 2022
First Form ADV filing
Davies Financial Advisors, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ee5d25f-2869-5b7c-d9db-769c03ffeda4
First observed: Aug 15, 2022
Last observed: Mar 30, 2026 5 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.

DAVIES FINANCIAL ADVISORS, INC.

CRD 139764

MURRIETA, 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:9ee5d25f-2869-5b7c-d9db-769c03ffeda4

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:18 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ANDREW JAMES DAVIES

Certified Financial Planner

SAN DIEGO, CA | MURRIETA, CA

Justin Simmons

Certified Financial Planner

SAN DIEGO, CA | MURRIETA, CA

Lyndsay Davies

n/a

SAN DIEGO, CA | MURRIETA, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DAVIES, ANDREW, JAMES

PRESIDENT AND CCO

yes

01/2004

Aug 15, 2022

Sep 5, 2024

DAVIES, SHAUNIE, LEE

Shareholder

yes

01/2004

Aug 15, 2022

Sep 5, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$123M

n/a

2024

Mar 12, 2025

$288M

n/a

2023

Mar 11, 2024

$165M

n/a

2022

Mar 3, 2023

$118M

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

$123M

$288M

-57.3%

$118M

1.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

COMMONWEALTH FINANCIAL NETWORK

Oct 3, 2022

Sep 28, 2022

MURRIETA, CA

Team lift out

Ibd to RIA

0.1%