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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

FORD FINANCIAL GROUP

FORD FINANCIAL GROUP, LLC, CRD 284977

FRESNO, 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:b7540485-df3c-a64e-1082-1b379e22f5a8

Data as of Mar 28, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 14
On other graphs: 0
Observed: Nov 29, 2016 to Mar 28, 2023
20 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: $537MItem 5.F on the latest filing (2023-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $525M
Private client RAUM: $523MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16
Advisory employees: 9
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 2,023
Individual clients: 720
High net worth clients: 282
Custody, client assets: $9.2M
SEC number: 801-108765
CRD: 284977
Filings on the tape: 20
First filed: Nov 29, 2016
Latest filed: Mar 28, 2023
Organised: Limited Liability Company, 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
FORD, CAROLE, RILEY	Partner	B	yes	12/2016	Nov 29, 2016	Mar 28, 2023
FORD, JAMES, JOSEPH	RETIRED/PARTNER	B	yes	12/2020	Nov 29, 2016	Mar 28, 2023
LOUIE, RYAN, JAIRE	MANAGING PARTNER	C	yes	01/2020	Mar 22, 2019	Mar 28, 2023
ULLMANN, BRIAN, JOSEPH	MANAGING PARTNER	C	yes	01/2020	Mar 22, 2019	Mar 28, 2023
BUTLER, KELLE, LEE	CHIEF COMPLIANCE OFFICER/ OPERATIONS MANAGER/PARTNER	A	no	12/2016	Nov 29, 2016	Mar 28, 2023

Offices

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

City	State	Country	Employees	Also broker-dealer
CARMEL-BY-THE-SEA	CA	United States	4	yes
n/a	n/a	n/a	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
2022	Mar 28, 2023	$537M	$525M	16	9	4	n/a	n/a
2021	Mar 23, 2022	$627M	$610M	17	9	4	n/a	n/a
2020	Mar 17, 2021	$559M	$542M	15	9	1	n/a	n/a
2019	Mar 25, 2020	$492M	$477M	16	11	1	n/a	n/a
2018	Mar 22, 2019	$426M	$411M	17	12	1	n/a	n/a
2017	Mar 28, 2018	$338M	$338M	13	8	2	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
2022	$537M	$627M	-14.3%	$492M	3.0%	16	17	4	4

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PERENNIAL FINANCIAL SERVICES	7	May 12, 2023	Jan 31, 2023	FRESNO, CA	Firm absorbed	RIA to RIA	77.8%

Relationships

Controls (4)

← FORD, CAROLE, RILEYOwnerPARTNER, ownership code B, individual
Nov 29, 2016 to presentfactForm ADV
← FORD, JAMES, JOSEPHOwnerRETIRED/PARTNER, ownership code B, individual
Nov 29, 2016 to presentfactForm ADV
← LOUIE, RYAN, JAIREOwnerMANAGING PARTNER, ownership code C, individual
Mar 22, 2019 to presentfactForm ADV
← ULLMANN, BRIAN, JOSEPHOwnerMANAGING PARTNER, ownership code C, individual
Mar 22, 2019 to presentfactForm ADV

Owns (1)

← BUTLER, KELLE, LEEOwnerCHIEF COMPLIANCE OFFICER/ OPERATIONS MANAGER/PARTNER, ownership code A, individual
Nov 29, 2016 to presentfactForm ADV

Registered with (10)

← CAROLE RILEY FORDAdvisorregistration: previous registration
Jan 3, 2017 to May 12, 2023factForm ADV
← STEVEN JON JOLLYAdvisorregistration: previous registration
Oct 4, 2018 to May 12, 2023factForm ADV
← ROBERT GILLIS FARMERAdvisorregistration: previous registration
Aug 31, 2017 to May 12, 2023factForm ADV
← MARY DAWN COLLINSAdvisorregistration: previous registration
Jan 3, 2017 to May 12, 2023factForm ADV
← RYAN JAIRE LOUIEAdvisorregistration: previous registration
Jan 3, 2017 to May 12, 2023factForm ADV
← ERIC RYAN SIMONIANSAdvisorregistration: previous registration
Oct 20, 2020 to May 12, 2023factForm ADV
← BRIAN JOSEPH ULLMANNAdvisorregistration: previous registration
Jan 3, 2017 to May 12, 2023factForm ADV
← NIKOLAUS STEPHEN REDMONDAdvisorregistration: previous registration
Jan 3, 2017 to May 12, 2023factForm ADV
← ERIN FORD REDMONDAdvisorregistration: previous registration
Feb 23, 2017 to May 12, 2023factForm ADV
← James A TrevinoAdvisorregistration: previous registration
Oct 7, 2021 to Mar 8, 2022factForm ADV

Moved with (1)

→ PERENNIAL FINANCIAL SERVICESRegistered adviser7 advisors, firm absorbed, same day
May 12, 2023 to Jan 31, 2023factForm ADV

Dated events

Occurred
May 12, 2023
Firm absorbed
Ford Financial Group's advisors moved to Perennial Financial Services (Fresno, CA): 7 of 9 registered, on the same day
Form ADVobserved 6 days ago
7 advisors
Occurred
May 12, 2023
Advisor changed firm
Mary Dawn Collins left Ford Financial Group for Perennial Financial Services (registered 2023-01-30)
Form ADVobserved 6 days ago
Occurred
May 12, 2023
Advisor changed firm
Brian Joseph Ullmann left Ford Financial Group for Perennial Financial Services (registered 2023-01-31)
Form ADVobserved 6 days ago
Occurred
May 12, 2023
Advisor changed firm
Steven Jon Jolly left Ford Financial Group for Perennial Financial Services (registered 2023-01-30)
Form ADVobserved 6 days ago
Occurred
May 12, 2023
Advisor changed firm
Nikolaus Stephen Redmond left Ford Financial Group for Perennial Financial Services (registered 2023-01-30)
Form ADVobserved 6 days ago
Occurred
May 12, 2023
Advisor changed firm
Erin Ford Redmond left Ford Financial Group for Perennial Financial Services (registered 2023-01-30)
Form ADVobserved 6 days ago
Occurred
May 12, 2023
Advisor changed firm
Ryan Jaire Louie left Ford Financial Group for Lpl Financial Llc (registered 2019-11-26)
Form ADVobserved 6 days ago
Occurred
May 12, 2023
Advisor changed firm
Robert Gillis Farmer left Ford Financial Group for Perennial Financial Services (registered 2023-01-30)
Form ADVobserved 6 days ago
Occurred
May 12, 2023
Advisor changed firm
Carole Riley Ford left Ford Financial Group for Perennial Financial Services (registered 2023-01-30)
Form ADVobserved 6 days ago
Occurred
May 12, 2023
Advisor changed firm
Eric Ryan Simonians left Ford Financial Group for Perennial Financial Services (registered 2023-01-30)
Form ADVobserved 6 days ago
Occurred
Mar 8, 2022
Advisor changed firm
James A Trevino left Ford Financial Group for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-11-08)
Form ADVobserved 6 days ago
Occurred
Mar 22, 2019
Control person joined
Joseph Brian Ullmann (Chief Financial Officer) appeared on Schedule A of Ford Financial Group
Form ADVobserved 6 days ago
Occurred
Mar 22, 2019
Control person joined
Jaire Ryan Louie (Chief Executive Officer) appeared on Schedule A of Ford Financial Group
Form ADVobserved 6 days ago
Occurred
Nov 29, 2016
First Form ADV filing
Ford Financial Group, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b7540485-df3c-a64e-1082-1b379e22f5a8
First observed: Nov 29, 2016
Last observed: Mar 28, 2023 42 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.

FORD FINANCIAL GROUP

FORD FINANCIAL GROUP, LLC, CRD 284977

FRESNO, 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:b7540485-df3c-a64e-1082-1b379e22f5a8

Data as of Mar 28, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:59 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FORD, CAROLE, RILEY

Partner

yes

12/2016

Nov 29, 2016

Mar 28, 2023

FORD, JAMES, JOSEPH

RETIRED/PARTNER

yes

12/2020

Nov 29, 2016

Mar 28, 2023

LOUIE, RYAN, JAIRE

MANAGING PARTNER

yes

01/2020

Mar 22, 2019

Mar 28, 2023

ULLMANN, BRIAN, JOSEPH

MANAGING PARTNER

yes

01/2020

Mar 22, 2019

Mar 28, 2023

BUTLER, KELLE, LEE

CHIEF COMPLIANCE OFFICER/ OPERATIONS MANAGER/PARTNER

12/2016

Nov 29, 2016

Mar 28, 2023

City

State

Country

Employees

Also broker-dealer

CARMEL-BY-THE-SEA

United States

yes

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 28, 2023

$537M

$525M

n/a

2021

Mar 23, 2022

$627M

$610M

n/a

2020

Mar 17, 2021

$559M

$542M

n/a

2019

Mar 25, 2020

$492M

$477M

n/a

2018

Mar 22, 2019

$426M

$411M

n/a

2017

Mar 28, 2018

$338M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$537M

$627M

-14.3%

$492M

3.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PERENNIAL FINANCIAL SERVICES

May 12, 2023

Jan 31, 2023

FRESNO, CA

Firm absorbed

RIA to RIA

77.8%