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CRD 109930
NEWPORT BEACH, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JOHN WILLIAM BAFFA | n/a | NEWPORT BEACH, CA | 25 | 27 | n/a | yes |
| MOEEZ UL-HAQ ANSARI | n/a | NEWPORT BEACH, CA | 25 | 26 | 1 | yes |
| FEROZ ULHAQ ANSARI | Certified Financial Planner | NEWPORT BEACH, CA | 23 | 24 | n/a | yes |
| ELMER BARBA SALVADOR | n/a | NEWPORT BEACH, CA | 21 | 25 | 1 | yes |
| EVA POPOV BOWEN | n/a | NEWPORT BEACH, CA | 20 | 23 | n/a | yes |
| GLENN CHARLES LINK | n/a | NEWPORT BEACH, CA | 19 | 30 | n/a | yes |
| YEKATERINA IVANOVNA GALKINA | Certified Financial Planner | NEWPORT BEACH, CA | 19 | 20 | 1 | yes |
| CLAUDE EDWIN GAITHER | n/a | NEWPORT BEACH, CA | 18 | 37 | n/a | yes |
| JAVAID ULHAQ ANSARI | Certified Financial Planner | NEWPORT BEACH, CA | 14 | 23 | 2 | yes |
| IMRAN ULHAQ ANSARI | n/a | NEWPORT BEACH, CA | 12 | 16 | n/a | yes |
| JOHN HOWARD DEARDORFF | Certified Financial Planner | NEWPORT BEACH, CA | 10 | 21 | 6 | no |
| Melissa Lynn Wright | Certified Financial Planner | NEWPORT BEACH, CA | 5 | 16 | 2 | yes |
| Qinyi Du | Chartered Financial Analyst | NEWPORT BEACH, CA | 1 | 10 | n/a | no |
| Ryan Thomas Harding | n/a | NEWPORT BEACH, CA | 1 | 11 | n/a | no |
| Avi Darshankumar Gorasia | n/a | NEWPORT BEACH, CA | 0 | 18 | n/a | no |
| Arash Kouhi | n/a | Scottsdale, AZ | NEWPORT BEACH, CA | 0 | 10 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ANSARI, FEROZ, ULHAQ | CCO / SENIOR PRINCIPAL | B | yes | 03/2005 | Mar 31, 2026 | Mar 31, 2026 |
| ANSARI, MOEEZ, UL-HAQ | President | E | yes | 12/1999 | Mar 31, 2026 | Mar 31, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| COMPAK SECURITIES, INC. | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Scottsdale | Az | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $1.5B | $1.5B | 20 | 14 | 1 | n/a | n/a |
| 2024 | Mar 31, 2025 | $1.3B | $1.2B | 18 | 12 | 1 | n/a | n/a |
| 2023 | Mar 29, 2024 | $1.1B | $1.0B | 18 | 12 | 1 | n/a | n/a |
| 2022 | Mar 30, 2023 | $895M | $867M | 18 | 12 | 1 | n/a | n/a |
| 2021 | Mar 30, 2022 | $993M | $984M | 18 | 12 | 1 | n/a | n/a |
| 2020 | Mar 30, 2021 | $817M | $814M | 17 | 12 | 1 | n/a | n/a |
| 2019 | Mar 13, 2020 | $682M | $682M | 17 | 12 | 1 | n/a | n/a |
| 2018 | Mar 26, 2019 | $522M | $522M | 17 | 12 | 1 | n/a | n/a |
| 2017 | Mar 28, 2018 | $501M | $501M | 18 | 13 | 1 | n/a | n/a |
| 2016 | Feb 16, 2017 | $417M | $417M | 18 | 13 | n/a | n/a | n/a |
| 2015 | Feb 2, 2016 | $386M | $386M | 18 | 13 | n/a | n/a | n/a |
| 2014 | Mar 3, 2015 | $413M | $413M | 17 | 12 | n/a | n/a | n/a |
| 2013 | Mar 14, 2014 | $393M | $393M | 19 | 12 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $503M | $503M | 30 | 20 | n/a | n/a | n/a |
| 2011 | Mar 23, 2012 | $576M | $576M | n/a | n/a | n/a | n/a | 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 | 0 | 0.0% | 0 | 0 | 0 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.5B | $1.3B | 20.5% | $895M | 19.2% | 20 | 18 | 1 | 1 |