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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

ANCHOR BAY CAPITAL, INC.

CRD 116913

CARLSBAD, 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:b7209141-6fda-d19c-fb4e-8c22b604d85e

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 3
On other graphs: 0
Observed: Mar 23, 2012 to Mar 23, 2026
24 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=0.98 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=4.0
Regulatory AUM: $247MItem 5.F on the latest filing (2026-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $243M
Private client RAUM: $243MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $41.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 191
Individual clients: 142
High net worth clients: 45
SEC number: 801-107983
CRD: 116913
Filings on the tape: 24
First filed: Mar 23, 2012
Latest filed: Mar 23, 2026
Organised: Corporation, CA

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
Tanner Manning Wrisley	n/a	Carlsbad, CA	8	10	n/a	yes
JAMES ROBERT ALLEN	Certified Financial Planner	Carlsbad, CA	7	23	3	yes
BLAKE ROLLINS PINYAN	Certified Financial Planner	CARLSBAD, CA	5	10	n/a	yes
Robert George Nathan	n/a	Tustin, CA	3	29	n/a	no
Stacey Lynn Buchholtz	n/a	Carlsbad, CA \| CARLSBAD, CA	2	15	1	no
Cory Matthew Large	n/a	CARLSBAD, CA	1	13	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
ALLEN, JAMES, ROBERT	President	C	yes	06/2020	Feb 1, 2021	Mar 26, 2024
LARGE, MATTHEW, WILLIAM	CHIEF COMPLIANCE OFFICER	B	yes	01/2016	Mar 5, 2018	Mar 26, 2024
SPIERING, SCOTT	INVESTMENT ADVISER REPRESENTATIVE, OWNER	C	yes	02/1988	Mar 23, 2012	Mar 26, 2024
Wrisley, Tanner, Manning	ASSOCIATE PORTFOLIO MANAGER	B	no	02/2022	Mar 1, 2022	Mar 26, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ANCHOR BAY PRIVATE WEALTH LLC	n/a	Independent wealth	$51.7M	N	yes	n/a
ANCHOR BAY SECURITIES, LLC	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Tustin	CA	United States	1	yes

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	Mar 23, 2026	$247M	$243M	6	5	1	n/a	n/a
2024	Mar 21, 2025	$219M	$216M	6	5	1	n/a	n/a
2023	Mar 26, 2024	$209M	$206M	5	2	1	n/a	n/a
2022	Mar 8, 2023	$182M	$180M	5	2	1	n/a	n/a
2021	Mar 1, 2022	$172M	$172M	6	4	1	n/a	n/a
2020	Feb 1, 2021	$154M	$154M	8	5	1	n/a	n/a
2019	Mar 30, 2020	$149M	$149M	7	5	1	n/a	n/a
2018	Mar 12, 2019	$92.5M	$92.5M	5	4	0	n/a	n/a
2017	Mar 5, 2018	$105M	$105M	8	5	0	n/a	n/a
2016	Mar 20, 2017	$90.0M	$90.0M	6	4	n/a	n/a	n/a
2011	Mar 23, 2012	$67.2M	$67.2M	n/a	n/a	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	$247M	$219M	12.6%	$182M	10.7%	6	6	1	1

Relationships

Affiliated with (2)

→ ANCHOR BAY PRIVATE WEALTH LLCRegistered adviserother investment adviser, common control
factForm ADV
← ANCHOR BAY PRIVATE WEALTH LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (16)

← Stacey Lynn BuchholtzAdvisorregistration: current employment
Dec 20, 2024 to presentfactForm ADV
← Cory Matthew LargeAdvisorregistration: current employment
Dec 18, 2024 to presentfactForm ADV
← Robert George NathanAdvisorregistration: current employment
Jul 6, 2023 to presentfactForm ADV
← BLAKE ROLLINS PINYANAdvisorregistration: current employment
Feb 11, 2021 to presentfactForm ADV
← JAMES ROBERT ALLENAdvisorregistration: current employment
Mar 4, 2019 to presentfactForm ADV
← Tanner Manning WrisleyAdvisorregistration: current employment
Jan 11, 2018 to presentfactForm ADV
← JONATHAN LESLEY CHATFIELDAdvisorregistration: previous registration
Feb 6, 2019 to Oct 15, 2021factForm ADV
← CHRISTIAN ALEXANDER CHAPMANAdvisorregistration: previous registration
Dec 3, 2019 to Oct 6, 2020factForm ADV
← Collin James ClarkAdvisorregistration: previous registration
Mar 11, 2020 to Jun 4, 2020factForm ADV
← TIMOTHY J. LACKEYAdvisorregistration: previous registration
Dec 10, 2010 to Mar 5, 2020factForm ADV
← JERAN SCOTT VAN ALFENAdvisorregistration: previous registration
Aug 18, 2015 to Sep 14, 2018factForm ADV
← SEAN MICHAEL O'CONNORAdvisorregistration: previous registration
Dec 4, 2015 to Apr 25, 2017factForm ADV
← MICHAEL JOHN WILEYAdvisorregistration: previous registration
Nov 18, 2015 to Dec 17, 2015factForm ADV
← Joseph Alan KoehlerAdvisorregistration: previous registration
Oct 29, 2013 to Dec 17, 2013factForm ADV
← BRIAN STEWART JOHNSONAdvisorregistration: previous registration
Mar 21, 2011 to Apr 4, 2012factForm ADV
← JOHN ROBERT VANDE BOSSCHEAdvisorregistration: previous registration
Oct 9, 2003 to Apr 13, 2005factForm ADV

Controls (3)

← SPIERING, SCOTTOwnerINVESTMENT ADVISER REPRESENTATIVE, OWNER, ownership code C, individual
Mar 23, 2012 to Mar 26, 2024factForm ADV
← ALLEN, JAMES, ROBERTOwnerPRESIDENT, ownership code C, individual
Feb 1, 2021 to Mar 26, 2024factForm ADV
← LARGE, MATTHEW, WILLIAMOwnerCHIEF COMPLIANCE OFFICER, ownership code B, individual
Mar 5, 2018 to Mar 26, 2024factForm ADV

Owns (1)

← Wrisley, Tanner, ManningOwnerASSOCIATE PORTFOLIO MANAGER, ownership code B, individual
Mar 1, 2022 to Mar 26, 2024factForm ADV

Dated events

Occurred
Mar 1, 2022
Succession filed (Item 4)
Anchor Bay Capital, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 3 days ago
Occurred
Feb 1, 2021
Control person joined
Robert James Allen (Co-Owner) appeared on Schedule A of Anchor Bay Capital, Inc.
Form ADVobserved 3 days ago
Occurred
Jun 10, 2016
First Form ADV filing
Anchor Bay Capital, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b7209141-6fda-d19c-fb4e-8c22b604d85e
First observed: Mar 23, 2012
Last observed: Mar 23, 2026 6 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.

ANCHOR BAY CAPITAL, INC.

CRD 116913

CARLSBAD, 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:b7209141-6fda-d19c-fb4e-8c22b604d85e

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:57 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

Tanner Manning Wrisley

n/a

Carlsbad, CA

n/a

yes

JAMES ROBERT ALLEN

Certified Financial Planner

Carlsbad, CA

yes

BLAKE ROLLINS PINYAN

Certified Financial Planner

CARLSBAD, CA

n/a

yes

Robert George Nathan

n/a

Tustin, CA

n/a

Stacey Lynn Buchholtz

n/a

Carlsbad, CA | CARLSBAD, CA

Cory Matthew Large

n/a

CARLSBAD, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALLEN, JAMES, ROBERT

President

yes

06/2020

Feb 1, 2021

Mar 26, 2024

LARGE, MATTHEW, WILLIAM

CHIEF COMPLIANCE OFFICER

yes

01/2016

Mar 5, 2018

Mar 26, 2024

SPIERING, SCOTT

INVESTMENT ADVISER REPRESENTATIVE, OWNER

yes

02/1988

Mar 23, 2012

Mar 26, 2024

Wrisley, Tanner, Manning

ASSOCIATE PORTFOLIO MANAGER

02/2022

Mar 1, 2022

Mar 26, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ANCHOR BAY PRIVATE WEALTH LLC

n/a

Independent wealth

$51.7M

yes

n/a

ANCHOR BAY SECURITIES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Tustin

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 23, 2026

$247M

$243M

n/a

2024

Mar 21, 2025

$219M

$216M

n/a

2023

Mar 26, 2024

$209M

$206M

n/a

2022

Mar 8, 2023

$182M

$180M

n/a

2021

Mar 1, 2022

$172M

n/a

2020

Feb 1, 2021

$154M

n/a

2019

Mar 30, 2020

$149M

n/a

2018

Mar 12, 2019

$92.5M

n/a

2017

Mar 5, 2018

$105M

n/a

2016

Mar 20, 2017

$90.0M

n/a

2011

Mar 23, 2012

$67.2M

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

$247M

$219M

12.6%

$182M

10.7%