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

ARGOSY WEALTH MANAGEMENT

ARGOSY WEALTH MANAGEMENT CORPORATION, CRD 175028

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:d651948b-58ee-7457-a229-fa9f2d5faaa0

Data as of Jul 10, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 2
On other graphs: 0
Observed: Mar 11, 2015 to Jul 10, 2020
13 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: $281MItem 5.F on the latest filing (2020-07-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $281M
Private client RAUM: $281MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 8
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 930
Individual clients: 221
High net worth clients: 75
Custody, client assets: $76.2M
SEC number: 801-81150
CRD: 175028
Filings on the tape: 13
First filed: Mar 11, 2015
Latest filed: Jul 10, 2020
Organised: Corporation, 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
KARON, MICHAEL, SCOTT	CCO/CFO	Na	yes	04/2010	Mar 11, 2015	Jul 10, 2020
KIMURA, ALEXANDER, MASARU	President	Na	yes	04/2010	Mar 11, 2015	Jul 10, 2020
MERCER GLOBAL ADVISORS INC.	PARENT COMPANY	E	yes	06/2020	Jul 10, 2020	Jul 10, 2020

Offices

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

City	State	Country	Employees	Also broker-dealer
WESTLAKE VILLAGE	CA	United States	3	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
2019	May 12, 2020	$281M	$281M	10	8	1	n/a	n/a
2018	Mar 28, 2019	$287M	$287M	8	7	1	n/a	n/a
2017	Feb 12, 2018	$184M	$184M	9	6	1	n/a	n/a
2016	Mar 27, 2017	$163M	$163M	3	2	n/a	n/a	n/a
2015	Mar 23, 2016	$136M	$136M	4	3	n/a	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
2019	$281M	$287M	-1.9%	$163M	19.8%	10	8	1	1

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
MERCER GLOBAL ADVISORS INC.	4	Mar 11, 2021	Oct 13, 2025	LOS ANGELES, CA	Firm absorbed	RIA to RIA	80.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CETERA ADVISOR NETWORKS LLC	2	Jul 2, 2018	Aug 24, 2018	WESTLAKE, CA	Team lift out	Ibd to RIA	0.4%

Relationships

Controls (3)

← KIMURA, ALEXANDER, MASARUOwnerPRESIDENT, ownership code NA, individual
Mar 11, 2015 to presentfactForm ADV
← MERCER GLOBAL ADVISORS INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Jul 10, 2020 to presentfactForm ADV
← KARON, MICHAEL, SCOTTOwnerCCO/CFO, ownership code NA, individual
Mar 11, 2015 to presentfactForm ADV

Moved with (2)

→ MERCER GLOBAL ADVISORS INC.Registered adviser4 advisors, firm absorbed
Mar 11, 2021 to Oct 13, 2025factForm ADV
← CETERA ADVISOR NETWORKS LLCRegistered adviser2 advisors, team lift out
Jul 2, 2018 to Aug 24, 2018factForm ADV

Registered with (7)

← DONNA HICKOAdvisorregistration: previous registration
Aug 24, 2018 to Mar 12, 2021factForm ADV
← FEDERICO AVENDANOAdvisorregistration: previous registration
Jul 19, 2019 to Mar 12, 2021factForm ADV
← CHRISTINA LOUISE HUNGAdvisorregistration: previous registration
Jun 15, 2017 to Mar 12, 2021factForm ADV
← Hrachya Rich DavtyanAdvisorregistration: previous registration
Jun 3, 2019 to Mar 12, 2021factForm ADV
← Kyle RayAdvisorregistration: previous registration
Sep 12, 2018 to Mar 11, 2021factForm ADV
← IRIS BULLICER ILAOAdvisorregistration: previous registration
Jan 24, 2018 to Feb 7, 2019factForm ADV
← RAYMOND MAX MORRILLAdvisorregistration: previous registration
Jul 22, 2016 to Mar 29, 2017factForm ADV

Dated events

Occurred
Mar 28, 2019
Regulatory AUM changed
Argosy Wealth Management reported RAUM $286.8M, up 56% from $183.6M (2018-08-23 to 2019-03-28)
Form ADVobserved 4 days ago
$103M
Occurred
Mar 11, 2015
First Form ADV filing
Argosy Wealth Management filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d651948b-58ee-7457-a229-fa9f2d5faaa0
First observed: Mar 11, 2015
Last observed: Jul 10, 2020 75 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.

ARGOSY WEALTH MANAGEMENT

ARGOSY WEALTH MANAGEMENT CORPORATION, CRD 175028

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:d651948b-58ee-7457-a229-fa9f2d5faaa0

Data as of Jul 10, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:54 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KARON, MICHAEL, SCOTT

CCO/CFO

yes

04/2010

Mar 11, 2015

Jul 10, 2020

KIMURA, ALEXANDER, MASARU

President

yes

04/2010

Mar 11, 2015

Jul 10, 2020

MERCER GLOBAL ADVISORS INC.

PARENT COMPANY

yes

06/2020

Jul 10, 2020

City

State

Country

Employees

Also broker-dealer

WESTLAKE VILLAGE

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

May 12, 2020

$281M

n/a

2018

Mar 28, 2019

$287M

n/a

2017

Feb 12, 2018

$184M

n/a

2016

Mar 27, 2017

$163M

n/a

2015

Mar 23, 2016

$136M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$281M

$287M

-1.9%

$163M

19.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERCER GLOBAL ADVISORS INC.

Mar 11, 2021

Oct 13, 2025

LOS ANGELES, CA

Firm absorbed

RIA to RIA

80.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CETERA ADVISOR NETWORKS LLC

Jul 2, 2018

Aug 24, 2018

WESTLAKE, CA

Team lift out

Ibd to RIA

0.4%