DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

PERENNIAL FINANCIAL SERVICES

PERENNIAL INVESTMENT ADVISORS, LLC, CRD 286477

LOS ANGELES, 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:b8fcee12-1029-f7f8-55cd-9a292346efbf

Data as of Aug 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 62
Dated events: 29
On other graphs: 0
Observed: May 11, 2017 to Aug 13, 2026
60 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=0.93 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=37.0
Regulatory AUM: $2.5BItem 5.F on the latest filing (2026-08-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.5B
Private client RAUM: $2.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 49
RAUM per advisor: $51.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 71
Advisory employees: 39
Offices: 14Schedule D 1.F, beyond the principal office
Accounts: 3,229
Individual clients: 2,156
High net worth clients: 913
Custody, client assets: $997M
SEC number: 801-110619
CIK: 1801523
CRD: 286477
Filings on the tape: 60
First filed: May 11, 2017
Latest filed: Aug 13, 2026
Organised: Limited Liability Company, CA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 49

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BRADLEY BENJAMIN HARRIS	n/a	LOS ANGELES, CA \| Los Angeles, CA	19	20	1	yes
CARLOS CALCAGNO LLUCH	Certified Financial Planner	North Adams, MA \| LOS ANGELES, CA	9	37	n/a	yes
THANE STUART MCCREADY	Certified Financial Planner	Fountain Valley, CA	9	30	n/a	yes
BRANDON BLAKE SCHWARTZ	n/a	Los Angeles, CA	9	24	3	yes
CHRISTOPHER ANDREW NOWAKOWSKI	n/a	Los Angeles, CA	9	23	1	yes
DANE CHRISTOPHER STREETER	n/a	Los Angeles, CA	9	22	1	yes
JOHN BENNETT PETRICK	n/a	Los Angeles, CA	9	23	1	yes
BEN EDWARD LAWLER	n/a	Los Angeles, CA	9	24	n/a	yes
DENNIS FU-TEH SHU	Certified Financial Planner	Los Angeles, CA	9	14	2	yes
SHIRLEY CO TAN	n/a	Glendale, CA	9	17	3	yes
DAVID PHILIP ARONOVITCH	n/a	Santa Monica, CA	8	21	3	yes
Amy Wang-yi Johnson	n/a	LOS ANGELES, CA	7	13	1	yes
STAN D CHOO	Certified Financial Planner	LOS ANGELES, CA	7	20	1	yes
RYAN JAIRE LOUIE	Certified Financial Planner	FRESNO, CA \| Fresno, CA \| LOS ANGELES, CA	6	22	1	yes
JASON RUSSELL GOOD	n/a	Boise, ID \| LOS ANGELES, CA	6	11	3	no
ANTHONY SEO LEE	n/a	LOS ANGELES, CA	5	26	1	yes
ROBERT DOUGLAS BARBER	n/a	LOS ANGELES, CA \| ARROYO GRANDE, CA	5	12	2	yes
EDDIE CHEWKWONG CHAN	n/a	LOS ANGELES, CA	4	33	4	yes
Davis DOMINGO Aldana	n/a	LOS ANGELES, CA \| LOS ALAMITOS, CA	4	18	2	yes
CAROLE RILEY FORD	Certified Financial Planner	LOS ANGELES, CA \| Fresno, CA	3	42	2	yes
BART RICHARD ALBRIGO	n/a	Litchfield Park, AZ \| LOS ANGELES, CA	3	38	5	no
STEVEN JON JOLLY	n/a	Fresno, CA \| LOS ANGELES, CA	3	37	3	yes
ROBERT GILLIS FARMER	n/a	LOS ANGELES, CA \| Fresno, CA	3	32	3	yes
MARY DAWN COLLINS	Chartered Financial Consultant	LOS ANGELES, CA \| Fresno, CA	3	28	1	yes
ERIC RYAN SIMONIANS	Certified Financial Planner	LOS ANGELES, CA \| Fresno, CA	3	19	2	yes

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
DCS INVESTMENTS, LLC	Member	A	yes	05/2017	Aug 13, 2026	Aug 13, 2026
LEE, ANTHONY, SEO	CHIEF COMPLIANCE OFFICER	Na	yes	05/2021	Aug 13, 2026	Aug 13, 2026
MARTINEZ, ALFRED, K.	CHIEF TECHNOLOGY OFFICER	Na	yes	01/2021	Aug 13, 2026	Aug 13, 2026
NOWAKOWSKI, CHRISTOPHER, ANDREW	Member	Na	yes	06/2017	Aug 13, 2026	Aug 13, 2026
PERENNIAL FINANCIAL SERVICES, LLC	Member	D	yes	05/2017	Aug 13, 2026	Aug 13, 2026
PETRICK, JOHN, BENNETT	Member	Na	yes	06/2017	Aug 13, 2026	Aug 13, 2026
PLOUTOS WEALTH ADVISORS, INC.	Member	A	yes	05/2017	Aug 13, 2026	Aug 13, 2026
HARRIS, BRADLEY, BENJAMIN	President	E	yes	01/2014	May 11, 2017	Sep 19, 2024
NOWAKOWSKI, CHRISTOPHER, ANDREW	MANAGING MEMBER	D	yes	07/2004	May 11, 2017	Sep 19, 2024
PETRICK, JOHN, BENNETT	MANAGING MEMBER	D	yes	06/2004	May 11, 2017	Sep 19, 2024
STREETER, DANE, CHRISTOPHER	MANAGING MEMBER	E	yes	01/2017	May 11, 2017	Sep 19, 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
PERENNIAL FINANCIAL & INSURANCE SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a
PERENNIAL LEGACY 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
Fresno	CA	United States	10	yes
FOUNTAIN VALLEY	CA	United States	3	yes
ARROYO GRANDE	CA	United States	2	yes
LOS ALAMITOS	CA	United States	2	yes
Glendale	CA	United States	1	yes
SANTA MONICA	CA	United States	1	yes
SOUTH PASADENA	CA	United States	1	yes
Boise	Id	United States	1	no
EDEN PRAIRIE	Mn	United States	1	yes
n/a	n/a	n/a	1	no

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 31, 2026	$2.5B	$2.5B	71	39	14	n/a	n/a
2024	Mar 28, 2025	$1.9B	$1.9B	50	42	15	n/a	n/a
2023	Mar 29, 2024	$1.5B	$1.5B	34	32	10	n/a	n/a
2022	Mar 31, 2023	$686M	$366M	22	21	9	n/a	n/a
2021	Mar 28, 2022	$774M	$774M	20	19	8	n/a	n/a
2020	Mar 10, 2021	$518M	$518M	15	15	6	n/a	n/a
2019	Mar 12, 2020	$365M	$365M	14	14	5	n/a	n/a
2018	Mar 19, 2019	$263M	$263M	14	14	5	n/a	n/a
2017	Jan 24, 2018	$144M	$144M	12	12	3	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
6	1	5	2.0%	0	0	0	15	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	$2.5B	$1.9B	31.6%	$686M	53.8%	71	50	14	15

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FORD FINANCIAL GROUP	7	May 12, 2023	Jan 31, 2023	FRESNO, CA	Firm absorbed	RIA to RIA	77.8%
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	2	Jun 9, 2021	Jan 1, 2025	ARROYO GRANDE, CA	Team lift out	Ibd to RIA	0.0%

Relationships

Registered with (51)

← James Michael RussellAdvisorregistration: current employment
May 15, 2026 to presentfactForm ADV
← Ethan James SmithAdvisorregistration: current employment
May 8, 2026 to presentfactForm ADV
← Jeffrey Warren SinclairAdvisorregistration: current employment
Apr 6, 2026 to presentfactForm ADV
← KENT KATSUO TANAKAAdvisorregistration: current employment
Jan 2, 2026 to presentfactForm ADV
← Ximena Sophia Silva-AvilaAdvisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← Zachary Douglas StatzerAdvisorregistration: current employment
Dec 16, 2025 to presentfactForm ADV
← Maddox Richard De NunzioAdvisorregistration: current employment
Dec 15, 2025 to presentfactForm ADV
← Betty ChinAdvisorregistration: current employment
Nov 3, 2025 to presentfactForm ADV
← William J SosnieckiAdvisorregistration: current employment
Nov 3, 2025 to presentfactForm ADV
← Kory A KeithAdvisorregistration: current employment
Jul 1, 2025 to presentfactForm ADV
← ABHISHEK VAKILAdvisorregistration: current employment
Jan 8, 2025 to presentfactForm ADV
← MICHAEL DEAN FULLERAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← MACKENZIE MORGAN MCCOMBSAdvisorregistration: current employment
Dec 16, 2024 to presentfactForm ADV
← GREGORY MORSEAdvisorregistration: current employment
Nov 12, 2024 to presentfactForm ADV
← Julian Eve LockeAdvisorregistration: current employment
Oct 18, 2024 to presentfactForm ADV
← JASON RONALD HORGAdvisorregistration: current employment
Sep 11, 2024 to presentfactForm ADV
← DEVIN GARY SHAEFFERAdvisorregistration: current employment
Sep 10, 2024 to presentfactForm ADV
← Caribel ColonAdvisorregistration: current employment
Sep 4, 2024 to presentfactForm ADV
← Neelab HakamiAdvisorregistration: current employment
Jul 2, 2024 to presentfactForm ADV
← EVIDIO T MAYEAAdvisorregistration: current employment
May 13, 2024 to presentfactForm ADV
← ALAN RANIER SIMEONAdvisorregistration: current employment
May 2, 2024 to presentfactForm ADV
← BRIAN JOSEPH ULLMANNAdvisorregistration: current employment
Jan 31, 2023 to presentfactForm ADV
← CAROLE RILEY FORDAdvisorregistration: current employment
Jan 30, 2023 to presentfactForm ADV
← BART RICHARD ALBRIGOAdvisorregistration: current employment
Jan 30, 2023 to presentfactForm ADV
← STEVEN JON JOLLYAdvisorregistration: current employment
Jan 30, 2023 to presentfactForm ADV
← ROBERT GILLIS FARMERAdvisorregistration: current employment
Jan 30, 2023 to presentfactForm ADV
← MARY DAWN COLLINSAdvisorregistration: current employment
Jan 30, 2023 to presentfactForm ADV
← RYAN JAIRE LOUIEAdvisorregistration: current employment
Jan 30, 2023 to presentfactForm ADV
← ERIC RYAN SIMONIANSAdvisorregistration: current employment
Jan 30, 2023 to presentfactForm ADV
← NIKOLAUS STEPHEN REDMONDAdvisorregistration: current employment
Jan 30, 2023 to presentfactForm ADV
and 21 more

Moved with (2)

← RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviser2 advisors, team lift out, same day
Jun 9, 2021 to Jan 1, 2025factForm ADV
← FORD FINANCIAL GROUPRegistered adviser7 advisors, firm absorbed, same day
May 12, 2023 to Jan 31, 2023factForm ADV

Controls (9)

← LEE, ANTHONY, SEOOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 17, 2021 to Sep 19, 2024factForm ADV
← NOWAKOWSKI, CHRISTOPHER, ANDREWOwnerMANAGING MEMBER, ownership code D, individual
May 11, 2017 to Sep 19, 2024factForm ADV
← STREETER, DANE, CHRISTOPHEROwnerMANAGING MEMBER, ownership code E, individual
May 11, 2017 to Sep 19, 2024factForm ADV
← PETRICK, JOHN, BENNETTOwnerMANAGING MEMBER, ownership code D, individual
May 11, 2017 to Sep 19, 2024factForm ADV
← HARRIS, BRADLEY, BENJAMINOwnerPRESIDENT, ownership code E, individual
May 11, 2017 to Sep 19, 2024factForm ADV
← Martinez, Alfred, KOwnerCHIEF TECHNOLOGY OFFICER, ownership code NA, individual
Jul 18, 2023 to Sep 19, 2024factForm ADV
← DCS INVESTMENTS, LLCOwnerMEMBER, ownership code A, domestic entity
May 11, 2017 to Sep 19, 2024factForm ADV
← PERENNIAL FINANCIAL SERVICES, LLCOwnerMEMBER, ownership code D, domestic entity
May 11, 2017 to Sep 19, 2024factForm ADV
← PLOUTOS WEALTH ADVISORS, INC.OwnerMEMBER, ownership code A, domestic entity
Mar 31, 2023 to Sep 19, 2024factForm ADV

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 31, 2026
Regulatory AUM changed
Perennial Financial Services reported RAUM $2.5B, up 32% from $1.9B (2025-05-28 to 2026-03-31)
Form ADVobserved 6 days ago
$601M
Occurred
Mar 20, 2026
Advisor changed firm
Jack Michael Schepke left Perennial Financial Services for Nuveen Asset Management, Llc (registered 2026-04-15)
Form ADVobserved 6 days ago
Occurred
Mar 28, 2025
Regulatory AUM changed
Perennial Financial Services reported RAUM $1.9B, up 28% from $1.5B (2024-09-19 to 2025-03-28)
Form ADVobserved 6 days ago
$414M
Occurred
Mar 29, 2024
Regulatory AUM changed
Perennial Financial Services reported RAUM $1.5B, up 116% from $686.4M (2024-01-30 to 2024-03-29)
Form ADVobserved 6 days ago
$797M
Occurred
Jul 18, 2023
Control person joined
K Alfred Martinez (Chief Technology Officer) appeared on Schedule A of Perennial Financial Services
Form ADVobserved 6 days ago
Occurred
Jul 14, 2023
Control person left
Joseph Brian Ullmann (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
Form ADVobserved 6 days ago
Occurred
Jul 14, 2023
Control person left
Stuart Thane Mccready (President) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
Form ADVobserved 6 days ago
Occurred
Jul 14, 2023
Control person left
Calcagno Carlos Lluch (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
Form ADVobserved 6 days ago
Occurred
Jul 14, 2023
Control person left
Richard Bart Albrigo (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
Form ADVobserved 6 days ago
Occurred
Jul 14, 2023
Control person left
D Stan Choo (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
Form ADVobserved 6 days ago
Occurred
Jul 14, 2023
Control person left
Domingo Davis Aldana (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
Form ADVobserved 6 days ago
Occurred
Jul 14, 2023
Control person left
Jaire Ryan Louie (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
Form ADVobserved 6 days ago
Occurred
Jul 14, 2023
Control person left
Katsuo Kent Tanaka (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
Form ADVobserved 6 days ago
Occurred
Jul 14, 2023
Control person left
Philip David Aronovitch (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-14, absent 2023-07-14)
Form ADVobserved 6 days ago
Occurred
Jul 13, 2023
Control person joined
Joseph Brian Ullmann (Owner) appeared on Schedule A of Perennial Financial Services
Form ADVobserved 6 days ago
Occurred
Jul 13, 2023
Control person joined
Jaire Ryan Louie (Owner) appeared on Schedule A of Perennial Financial Services
Form ADVobserved 6 days ago
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
Mar 31, 2023
Control person joined
Domingo Davis Aldana (Owner) appeared on Schedule A of Perennial Financial Services
Form ADVobserved 6 days ago
Occurred
Mar 28, 2022
Regulatory AUM changed
Perennial Financial Services reported RAUM $774.0M, up 49% from $518.4M (2021-11-17 to 2022-03-28)
Form ADVobserved 6 days ago
$256M
Occurred
May 17, 2021
Control person joined
Seo Anthony Lee (Chief Compliance Officer) appeared on Schedule A of Perennial Financial Services
Form ADVobserved 6 days ago
Occurred
Mar 10, 2021
Regulatory AUM changed
Perennial Financial Services reported RAUM $518.4M, up 42% from $364.7M (2020-10-23 to 2021-03-10)
Form ADVobserved 6 days ago
$154M
Occurred
Oct 23, 2020
Control person joined
D Stan Choo (Owner) appeared on Schedule A of Perennial Financial Services
Form ADVobserved 6 days ago
Occurred
Mar 12, 2020
Regulatory AUM changed
Perennial Financial Services reported RAUM $364.7M, up 39% from $262.9M (2019-06-11 to 2020-03-12)
Form ADVobserved 6 days ago
$102M
Occurred
Mar 12, 2020
Control person joined
Philip David Aronovitch (Owner) appeared on Schedule A of Perennial Financial Services
Form ADVobserved 6 days ago
Occurred
Nov 14, 2018
Regulatory AUM changed
Perennial Financial Services reported RAUM $265.1M, up 70% from $155.9M (2018-10-30 to 2018-11-14)
Form ADVobserved 6 days ago
$109M
Occurred
May 11, 2017
First Form ADV filing
Perennial Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 3 bookkeeping events

Occurred
Mar 28, 2025
Perennial Financial Services reported 15 offices beyond its principal office, up from 10 (2024-09-19 to 2025-03-28)
Occurred
Mar 28, 2025
Perennial Financial Services reported 42 state-registered advisory representatives, up from 32 (2024-09-19 to 2025-03-28)
Occurred
Mar 29, 2024
Perennial Financial Services reported 32 state-registered advisory representatives, up from 21 (2024-01-30 to 2024-03-29)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b8fcee12-1029-f7f8-55cd-9a292346efbf
First observed: May 11, 2017
Last observed: Aug 13, 2026 39 days 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.

PERENNIAL FINANCIAL SERVICES

PERENNIAL INVESTMENT ADVISORS, LLC, CRD 286477

LOS ANGELES, 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:b8fcee12-1029-f7f8-55cd-9a292346efbf

Data as of Aug 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:28 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BRADLEY BENJAMIN HARRIS

n/a

LOS ANGELES, CA | Los Angeles, CA

yes

CARLOS CALCAGNO LLUCH

Certified Financial Planner

North Adams, MA | LOS ANGELES, CA

n/a

yes

THANE STUART MCCREADY

Certified Financial Planner

Fountain Valley, CA

n/a

yes

BRANDON BLAKE SCHWARTZ

n/a

Los Angeles, CA

yes

CHRISTOPHER ANDREW NOWAKOWSKI

n/a

Los Angeles, CA

yes

DANE CHRISTOPHER STREETER

n/a

Los Angeles, CA

yes

JOHN BENNETT PETRICK

n/a

Los Angeles, CA

yes

BEN EDWARD LAWLER

n/a

Los Angeles, CA

n/a

yes

DENNIS FU-TEH SHU

Certified Financial Planner

Los Angeles, CA

yes

SHIRLEY CO TAN

n/a

Glendale, CA

yes

DAVID PHILIP ARONOVITCH

n/a

Santa Monica, CA

yes

Amy Wang-yi Johnson

n/a

LOS ANGELES, CA

yes

STAN D CHOO

Certified Financial Planner

LOS ANGELES, CA

yes

RYAN JAIRE LOUIE

Certified Financial Planner

FRESNO, CA | Fresno, CA | LOS ANGELES, CA

yes

JASON RUSSELL GOOD

n/a

Boise, ID | LOS ANGELES, CA

ANTHONY SEO LEE

n/a

LOS ANGELES, CA

yes

ROBERT DOUGLAS BARBER

n/a

LOS ANGELES, CA | ARROYO GRANDE, CA

yes

EDDIE CHEWKWONG CHAN

n/a

LOS ANGELES, CA

yes

Davis DOMINGO Aldana

n/a

LOS ANGELES, CA | LOS ALAMITOS, CA

yes

CAROLE RILEY FORD

Certified Financial Planner

LOS ANGELES, CA | Fresno, CA

yes

BART RICHARD ALBRIGO

n/a

Litchfield Park, AZ | LOS ANGELES, CA

STEVEN JON JOLLY

n/a

Fresno, CA | LOS ANGELES, CA

yes

ROBERT GILLIS FARMER

n/a

LOS ANGELES, CA | Fresno, CA

yes

MARY DAWN COLLINS

Chartered Financial Consultant

LOS ANGELES, CA | Fresno, CA

yes

ERIC RYAN SIMONIANS

Certified Financial Planner

LOS ANGELES, CA | Fresno, CA

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DCS INVESTMENTS, LLC

Member

yes

05/2017

Aug 13, 2026

LEE, ANTHONY, SEO

CHIEF COMPLIANCE OFFICER

yes

05/2021

Aug 13, 2026

MARTINEZ, ALFRED, K.

CHIEF TECHNOLOGY OFFICER

yes

01/2021

Aug 13, 2026

NOWAKOWSKI, CHRISTOPHER, ANDREW

Member

yes

06/2017

Aug 13, 2026

PERENNIAL FINANCIAL SERVICES, LLC

Member

yes

05/2017

Aug 13, 2026

PETRICK, JOHN, BENNETT

Member

yes

06/2017

Aug 13, 2026

PLOUTOS WEALTH ADVISORS, INC.

Member

yes

05/2017

Aug 13, 2026

HARRIS, BRADLEY, BENJAMIN

President

yes

01/2014

May 11, 2017

Sep 19, 2024

NOWAKOWSKI, CHRISTOPHER, ANDREW

MANAGING MEMBER

yes

07/2004

May 11, 2017

Sep 19, 2024

PETRICK, JOHN, BENNETT

MANAGING MEMBER

yes

06/2004

May 11, 2017

Sep 19, 2024

STREETER, DANE, CHRISTOPHER

MANAGING MEMBER

yes

01/2017

May 11, 2017

Sep 19, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PERENNIAL FINANCIAL & INSURANCE SERVICES, LLC

n/a

yes

n/a

PERENNIAL LEGACY LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Fresno

United States

yes

FOUNTAIN VALLEY

United States

yes

ARROYO GRANDE

United States

yes

LOS ALAMITOS

United States

yes

Glendale

United States

yes

SANTA MONICA

United States

yes

SOUTH PASADENA

United States

yes

Boise

United States

EDEN PRAIRIE

United States

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$2.5B

n/a

2024

Mar 28, 2025

$1.9B

n/a

2023

Mar 29, 2024

$1.5B

n/a

2022

Mar 31, 2023

$686M

$366M

n/a

2021

Mar 28, 2022

$774M

n/a

2020

Mar 10, 2021

$518M

n/a

2019

Mar 12, 2020

$365M

n/a

2018

Mar 19, 2019

$263M

n/a

2017

Jan 24, 2018

$144M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

2.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.5B

$1.9B

31.6%

$686M

53.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FORD FINANCIAL GROUP

May 12, 2023

Jan 31, 2023

FRESNO, CA

Firm absorbed

RIA to RIA

77.8%

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Jun 9, 2021

Jan 1, 2025

ARROYO GRANDE, CA

Team lift out

Ibd to RIA

0.0%