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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

ADVANCED FINANCIAL STRATEGIES INC

CRD 108296

IRVINE, 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:d763146e-4458-3135-a2e7-3adad998cc98

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 15, 2011 to Mar 31, 2026
25 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=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $252MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $251M
Private client RAUM: $247MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $62.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 388
Individual clients: 48
High net worth clients: 89
SEC number: 801-57835
CRD: 108296
Filings on the tape: 25
First filed: Nov 15, 2011
Latest filed: Mar 31, 2026
Organised: Corporation, CA
Website: afsplanning.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
PIERRE NGOC NGO	Certified Financial Planner	IRVINE, CA	7	40	n/a	yes
JONATHON Van NGUYEN	Certified Financial Planner	IRVINE, CA	1	22	n/a	no
PATRICIA VASQUEZ	Certified Financial Planner	IRVINE, CA	1	15	n/a	no
Colette Han Sadlier	n/a	IRVINE, CA	1	13	n/a	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
NGO, PIERRE, NGOC	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	03/1997	Nov 15, 2011	Apr 22, 2024

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	$252M	$251M	6	6	0	n/a	n/a
2024	Mar 31, 2025	$242M	$241M	6	4	0	n/a	n/a
2023	Mar 28, 2024	$230M	$229M	6	4	0	n/a	n/a
2022	Mar 30, 2023	$212M	$211M	6	4	0	n/a	n/a
2021	Mar 29, 2022	$224M	$223M	6	3	0	n/a	n/a
2020	Mar 29, 2021	$210M	$207M	3	3	0	n/a	n/a
2019	Mar 31, 2020	$208M	$205M	4	4	0	n/a	n/a
2018	Mar 29, 2019	$171M	$167M	3	3	0	n/a	n/a
2017	Mar 29, 2018	$148M	$142M	3	3	0	n/a	n/a
2016	Mar 31, 2017	$101M	$92.9M	3	3	n/a	n/a	n/a
2015	Mar 29, 2016	$93.1M	$84.6M	3	3	n/a	n/a	n/a
2014	Mar 31, 2015	$94.0M	$80.7M	4	3	n/a	n/a	n/a
2013	Mar 31, 2014	$93.9M	$79.1M	4	3	n/a	n/a	n/a
2012	Mar 28, 2013	$94.6M	$71.8M	4	3	n/a	n/a	n/a
2011	Mar 30, 2012	$95.3M	$77.2M	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	$252M	$242M	4.2%	$212M	5.9%	6	6	0	0

Relationships

Registered with (4)

← Colette Han SadlierAdvisorregistration: current employment
Sep 17, 2025 to presentfactForm ADV
← JONATHON Van NGUYENAdvisorregistration: current employment
Jan 6, 2025 to presentfactForm ADV
← PATRICIA VASQUEZAdvisorregistration: current employment
Jan 6, 2025 to presentfactForm ADV
← PIERRE NGOC NGOAdvisorregistration: current employment
Apr 1, 2019 to presentfactForm ADV

Controls (1)

← NGO, PIERRE, NGOCOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 15, 2011 to Apr 22, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d763146e-4458-3135-a2e7-3adad998cc98
First observed: Nov 15, 2011
Last observed: Mar 31, 2026 5 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.

ADVANCED FINANCIAL STRATEGIES INC

CRD 108296

IRVINE, 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:d763146e-4458-3135-a2e7-3adad998cc98

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:23 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PIERRE NGOC NGO

Certified Financial Planner

IRVINE, CA

n/a

yes

JONATHON Van NGUYEN

Certified Financial Planner

IRVINE, CA

n/a

PATRICIA VASQUEZ

Certified Financial Planner

IRVINE, CA

n/a

Colette Han Sadlier

n/a

IRVINE, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

NGO, PIERRE, NGOC

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

03/1997

Nov 15, 2011

Apr 22, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$252M

$251M

n/a

2024

Mar 31, 2025

$242M

$241M

n/a

2023

Mar 28, 2024

$230M

$229M

n/a

2022

Mar 30, 2023

$212M

$211M

n/a

2021

Mar 29, 2022

$224M

$223M

n/a

2020

Mar 29, 2021

$210M

$207M

n/a

2019

Mar 31, 2020

$208M

$205M

n/a

2018

Mar 29, 2019

$171M

$167M

n/a

2017

Mar 29, 2018

$148M

$142M

n/a

2016

Mar 31, 2017

$101M

$92.9M

n/a

2015

Mar 29, 2016

$93.1M

$84.6M

n/a

2014

Mar 31, 2015

$94.0M

$80.7M

n/a

2013

Mar 31, 2014

$93.9M

$79.1M

n/a

2012

Mar 28, 2013

$94.6M

$71.8M

n/a

2011

Mar 30, 2012

$95.3M

$77.2M

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

$252M

$242M

4.2%

$212M

5.9%