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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PACIFIC FINANCIAL STRATEGIES, INC

CRD 151434

THOUSAND OAKS, 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:c222e16c-aa75-1142-ba7a-b7fcc2d67fa8

Data as of Jun 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Mar 19, 2012 to Jun 24, 2026
28 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $201MItem 5.F on the latest filing (2026-06-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $201M
Private client RAUM: $201MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $67.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 980
Individual clients: 600
High net worth clients: 113
SEC number: 801-70849
CRD: 151434
Filings on the tape: 28
First filed: Mar 19, 2012
Latest filed: Jun 24, 2026
Organised: Corporation, CA
Website: pacfs.com

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
JOSEPH ARTHUR GARCIA	n/a	THOUSAND OAKS, CA	9	27	3	no
ANNA-CHRISTINA BROCKSCHMIDT	n/a	THOUSAND OAKS, CA	4	14	n/a	no
Ariana Justine McDonald	n/a	THOUSAND OAKS, CA \| Frazier Park, CA	3	10	1	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
GARCIA, JOSEPH, ARTHUR	PRESIDENT/CHIEF COMPLIANCE OFFICER	A	yes	11/2009	Mar 19, 2012	Mar 1, 2024
BROCKSCHMIDT, ANNA-CHRISTINA	VICE PRESIDENT/FINANCIAL ADVISOR	E	no	11/2015	Feb 4, 2016	Mar 1, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
Ventura	CA	United States	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	Feb 10, 2026	$201M	$201M	5	3	1	n/a	n/a
2024	Mar 20, 2025	$182M	$182M	5	3	1	n/a	n/a
2023	Feb 27, 2024	$138M	$138M	5	3	1	n/a	n/a
2022	Mar 14, 2023	$118M	$118M	5	3	2	n/a	n/a
2021	Mar 28, 2022	$145M	$145M	5	3	2	n/a	n/a
2020	Feb 25, 2021	$129M	$129M	4	3	1	n/a	n/a
2019	Feb 19, 2020	$114M	$114M	4	2	1	n/a	n/a
2018	Feb 15, 2019	$127M	$127M	4	2	1	n/a	n/a
2017	Feb 23, 2018	$98.3M	$98.3M	4	2	1	n/a	n/a
2016	Mar 13, 2017	$102M	$102M	3	2	n/a	n/a	n/a
2015	Feb 4, 2016	$100M	$100M	4	4	n/a	n/a	n/a
2014	Jan 20, 2015	$111M	$111M	3	3	n/a	n/a	n/a
2013	Feb 4, 2014	$112M	$112M	4	3	n/a	n/a	n/a
2012	Jan 29, 2013	$92.4M	$92.4M	4	3	n/a	n/a	n/a
2011	Mar 19, 2012	$106M	$104M	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	$201M	$182M	10.7%	$118M	19.5%	5	5	1	1

Relationships

Registered with (9)

← Ariana Justine McDonaldAdvisorregistration: current employment
Apr 20, 2023 to presentfactForm ADV
← ANNA-CHRISTINA BROCKSCHMIDTAdvisorregistration: current employment
Dec 12, 2021 to presentfactForm ADV
← JOSEPH ARTHUR GARCIAAdvisorregistration: current employment
Mar 13, 2017 to presentfactForm ADV
← Jordan Scott KaneAdvisorregistration: previous registration
Aug 28, 2020 to Jan 17, 2023factForm ADV
← BRENDA JEAN COYLEAdvisorregistration: previous registration
Jun 2, 2011 to Jan 16, 2017factForm ADV
← SIMON CHUNG-YEE LIUAdvisorregistration: previous registration
Jul 29, 2011 to Apr 14, 2016factForm ADV
← ARTHUR COLE GARCIAAdvisorregistration: previous registration
Jan 22, 2010 to Mar 30, 2012factForm ADV
← STEVEN PAUL VAN METREAdvisorregistration: previous registration
Jun 3, 2010 to Mar 30, 2012factForm ADV
← TODD JUSTIN LERNERAdvisorregistration: previous registration
Jan 25, 2010 to Jun 3, 2011factForm ADV

Controls (1)

← GARCIA, JOSEPH, ARTHUROwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code A, individual
Mar 19, 2012 to Mar 1, 2024factForm ADV

Owns (1)

← BROCKSCHMIDT, ANNA-CHRISTINAOwnerVICE PRESIDENT/FINANCIAL ADVISOR, ownership code E, individual
Feb 4, 2016 to Mar 1, 2024factForm ADV

Dated events

Occurred
Jan 17, 2023
Advisor changed firm
Jordan Scott Kane left Pacific Financial Strategies, Inc for Hillcrest Financial Group (registered 2023-01-04)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c222e16c-aa75-1142-ba7a-b7fcc2d67fa8
First observed: Mar 19, 2012
Last observed: Jun 24, 2026 2 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.

PACIFIC FINANCIAL STRATEGIES, INC

CRD 151434

THOUSAND OAKS, 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:c222e16c-aa75-1142-ba7a-b7fcc2d67fa8

Data as of Jun 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:00 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOSEPH ARTHUR GARCIA

n/a

THOUSAND OAKS, CA

ANNA-CHRISTINA BROCKSCHMIDT

n/a

THOUSAND OAKS, CA

n/a

Ariana Justine McDonald

n/a

THOUSAND OAKS, CA | Frazier Park, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GARCIA, JOSEPH, ARTHUR

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

11/2009

Mar 19, 2012

Mar 1, 2024

BROCKSCHMIDT, ANNA-CHRISTINA

VICE PRESIDENT/FINANCIAL ADVISOR

11/2015

Feb 4, 2016

Mar 1, 2024

City

State

Country

Employees

Also broker-dealer

Ventura

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 10, 2026

$201M

n/a

2024

Mar 20, 2025

$182M

n/a

2023

Feb 27, 2024

$138M

n/a

2022

Mar 14, 2023

$118M

n/a

2021

Mar 28, 2022

$145M

n/a

2020

Feb 25, 2021

$129M

n/a

2019

Feb 19, 2020

$114M

n/a

2018

Feb 15, 2019

$127M

n/a

2017

Feb 23, 2018

$98.3M

n/a

2016

Mar 13, 2017

$102M

n/a

2015

Feb 4, 2016

$100M

n/a

2014

Jan 20, 2015

$111M

n/a

2013

Feb 4, 2014

$112M

n/a

2012

Jan 29, 2013

$92.4M

n/a

2011

Mar 19, 2012

$106M

$104M

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

$201M

$182M

10.7%

$118M

19.5%