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

PROFESSIONAL PLANNING

THOUSAND OAKS FINANCIAL CORPORATION, CRD 109561

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:d67ae849-4b73-1854-4c44-489f11d3ec53

Data as of Sep 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 9
On other graphs: 0
Observed: Feb 7, 2012 to Sep 29, 2021
23 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: $187MItem 5.F on the latest filing (2021-09-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $187M
Private client RAUM: $174MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 906
Individual clients: 313
High net worth clients: 35
SEC number: 801-57077
CRD: 109561
Filings on the tape: 23
First filed: Feb 7, 2012
Latest filed: Sep 29, 2021
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
CI US HOLDINGS INC.	Member	D	yes	10/2020	Nov 20, 2020	Sep 29, 2021
NACHMAN, MELVYN, HENRY	Director	Na	yes	02/2000	Feb 7, 2012	Sep 29, 2021
OCM HOLDINGS, LLLP	Member	C	yes	10/2020	Nov 20, 2020	Sep 29, 2021
STRIDSBERG, DAN	CHIEF COMPLIANCE OFFICER	Na	yes	10/2020	Nov 20, 2020	Sep 29, 2021
THOUSAND OAKS FINANCIAL HOLDING LLC	Owner	E	yes	07/2020	Sep 1, 2020	Sep 29, 2021

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
ONE CAPITAL MANAGEMENT, LLC	n/a	Independent wealth	$8.5B	N	yes	n/a
MELVYN NACHMAN	n/a	n/a	n/a	Y	yes	n/a

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
2021	Sep 29, 2021	$187M	$187M	8	5	0	n/a	n/a
2020	Sep 1, 2020	$447M	$447M	8	5	0	n/a	n/a
2019	Sep 12, 2019	$394M	$394M	8	5	0	n/a	n/a
2018	Mar 24, 2019	$353M	$353M	8	5	0	n/a	n/a
2017	Mar 24, 2018	$351M	$351M	8	5	0	n/a	n/a
2016	Mar 19, 2017	$277M	$277M	9	5	n/a	n/a	n/a
2015	Mar 7, 2016	$233M	$233M	8	4	n/a	n/a	n/a
2014	Feb 4, 2015	$214M	$214M	8	4	n/a	n/a	n/a
2013	Feb 11, 2014	$195M	$195M	7	4	n/a	n/a	n/a
2012	Feb 15, 2013	$167M	$167M	7	3	n/a	n/a	n/a
2011	Feb 7, 2012	$146M	$146M	n/a	n/a	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
2021	$187M	$447M	-58.2%	$353M	-19.1%	8	8	0	0

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
ONE CAPITAL MANAGEMENT, LLC	2	Sep 9, 2022	Oct 30, 2020	THOUSAND OAKS, CA	Team lift out	RIA to RIA	100.0%

Relationships

Affiliated with (1)

→ ONE CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (5)

← NACHMAN, MELVYN, HENRYOwnerDIRECTOR, ownership code NA, individual
Feb 7, 2012 to presentfactForm ADV
← STRIDSBERG, DANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 20, 2020 to presentfactForm ADV
← CI US HOLDINGS INC.OwnerMEMBER, ownership code D, domestic entity
Nov 20, 2020 to presentfactForm ADV
← OCM HOLDINGS, LLLPOwnerMEMBER, ownership code C, domestic entity
Nov 20, 2020 to presentfactForm ADV
← THOUSAND OAKS FINANCIAL HOLDING LLCOwnerOWNER, ownership code E, domestic entity
Sep 1, 2020 to presentfactForm ADV

Registered with (4)

← CRANSTON RICHARD GESELLAdvisorregistration: previous registration
Jul 27, 2009 to Sep 9, 2022factForm ADV
← KEVIN GARRETT JOHNSONAdvisorregistration: previous registration
Jan 5, 2016 to Sep 9, 2022factForm ADV
← KENNETH ALAN BOCKAdvisorregistration: previous registration
Jul 28, 2009 to Aug 24, 2022factForm ADV
← Richard Kevin WintersAdvisorregistration: previous registration
Apr 25, 2016 to Jun 11, 2021factForm ADV

Moved with (1)

→ ONE CAPITAL MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Sep 9, 2022 to Oct 30, 2020factForm ADV

Dated events

Occurred
Sep 9, 2022
Team lift-out
2 advisors left Professional Planning (Thousand Oaks, CA) for One Capital Management, LLC on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Sep 9, 2022
Advisor changed firm
Cranston Richard Gesell left Professional Planning for One Capital Management, Llc (registered 2020-10-30)
Form ADVobserved 6 days ago
Occurred
Sep 9, 2022
Advisor changed firm
Kevin Garrett Johnson left Professional Planning for One Capital Management, Llc (registered 2020-10-28)
Form ADVobserved 6 days ago
Occurred
Aug 24, 2022
Advisor changed firm
Kenneth Alan Bock left Professional Planning for Mutual Advisors, Llc (registered 2022-06-01)
Form ADVobserved 6 days ago
Occurred
Sep 29, 2021
Regulatory AUM changed
Professional Planning reported RAUM $186.9M, down 58% from $447.1M (2020-11-20 to 2021-09-29)
Form ADVobserved 6 days ago
$-260M
Occurred
Nov 20, 2020
Control person left
Richard Cranston Gesell (Manager) no longer on Schedule A of Professional Planning (listed 2020-09-01, absent 2020-11-20)
Form ADVobserved 6 days ago
Occurred
Nov 20, 2020
Control person joined
Dan Stridsberg (Chief Compliance Officer) appeared on Schedule A of Professional Planning
Form ADVobserved 6 days ago
Occurred
Sep 1, 2020
Control person joined
Richard Cranston Gesell (Manager) appeared on Schedule A of Professional Planning
Form ADVobserved 6 days ago
Occurred
May 28, 2019
Succession filed (Item 4)
Professional Planning reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d67ae849-4b73-1854-4c44-489f11d3ec53
First observed: Feb 7, 2012
Last observed: Sep 29, 2021 60 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.

PROFESSIONAL PLANNING

THOUSAND OAKS FINANCIAL CORPORATION, CRD 109561

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:d67ae849-4b73-1854-4c44-489f11d3ec53

Data as of Sep 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:13 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CI US HOLDINGS INC.

Member

yes

10/2020

Nov 20, 2020

Sep 29, 2021

NACHMAN, MELVYN, HENRY

Director

yes

02/2000

Feb 7, 2012

Sep 29, 2021

OCM HOLDINGS, LLLP

Member

yes

10/2020

Nov 20, 2020

Sep 29, 2021

STRIDSBERG, DAN

CHIEF COMPLIANCE OFFICER

yes

10/2020

Nov 20, 2020

Sep 29, 2021

THOUSAND OAKS FINANCIAL HOLDING LLC

Owner

yes

07/2020

Sep 1, 2020

Sep 29, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ONE CAPITAL MANAGEMENT, LLC

n/a

Independent wealth

$8.5B

yes

n/a

MELVYN NACHMAN

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Sep 29, 2021

$187M

n/a

2020

Sep 1, 2020

$447M

n/a

2019

Sep 12, 2019

$394M

n/a

2018

Mar 24, 2019

$353M

n/a

2017

Mar 24, 2018

$351M

n/a

2016

Mar 19, 2017

$277M

n/a

2015

Mar 7, 2016

$233M

n/a

2014

Feb 4, 2015

$214M

n/a

2013

Feb 11, 2014

$195M

n/a

2012

Feb 15, 2013

$167M

n/a

2011

Feb 7, 2012

$146M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$187M

$447M

-58.2%

$353M

-19.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ONE CAPITAL MANAGEMENT, LLC

Sep 9, 2022

Oct 30, 2020

THOUSAND OAKS, CA

Team lift out

RIA to RIA

100.0%