DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 111007
NEWPORT BEACH, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| RYAN LEE KELLY | n/a | NEWPORT BEACH, CA | 14 | 35 | n/a | no |
| NANCY JANE HOWARD | Certified Financial Planner | NEWPORT BEACH, CA | 14 | 14 | n/a | no |
| TONY KYUWHAN JUNG | n/a | NEWPORT BEACH, CA | 13 | 27 | n/a | no |
| MICHAEL JAMES OTTMAN | Certified Financial Planner | NEWPORT BEACH, CA | Paia,, HI | 12 | 38 | 4 | no |
| LISA SUZANNE SHARP | Certified Financial Planner | Gunter, TX | NEWPORT BEACH, CA | 9 | 33 | 1 | no |
| Ty Eric Neubauer | n/a | NEWPORT BEACH, CA | 8 | 14 | n/a | no |
| MITCHEL EVAN NEEDELMAN | Chartered Financial Analyst | NEWPORT BEACH, CA | 8 | 23 | 2 | no |
| Garrett James Peterson | n/a | NEWPORT BEACH, CA | 0 | 11 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| JUNG, TONY, KYUWHAN | CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER | Na | yes | 01/2013 | Mar 22, 2013 | Aug 6, 2024 |
| KELLY FAMILY TRUST DTD 08/28/1984 | Shareholder | B | yes | 01/1990 | Mar 30, 2016 | Aug 6, 2024 |
| KELLY, ROLAND, DUANE | TRUSTEE OF KELLY FAMILY TRUST DTD 08/28/1984 | Na | yes | 01/1990 | Nov 10, 2011 | Aug 6, 2024 |
| KELLY, RYAN, LEE | CHIEF EXECUTIVE OFFICER OF SPECTRUM ASSET MANAGEMENT & TRUSTEE OF RYAN LEE KELLY SEPARATE PROPERTY TRUST DTD 01/11/2006 | Na | yes | 12/1999 | Nov 10, 2011 | Aug 6, 2024 |
| RYAN LEE KELLY SEPARATE PROPERTY TRUST DTD 01/11/2006 | Shareholder | E | yes | 01/2006 | Mar 30, 2016 | Aug 6, 2024 |
| KELLY, MARC, DUANE | Shareholder | A | no | 06/1990 | Nov 10, 2011 | Aug 6, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 18, 2026 | $657M | $657M | 12 | 11 | 2 | n/a | n/a |
| 2024 | Mar 26, 2025 | $640M | $640M | 11 | 9 | 2 | n/a | n/a |
| 2023 | Mar 18, 2024 | $646M | $635M | 11 | 9 | 2 | n/a | n/a |
| 2022 | Mar 15, 2023 | $620M | $605M | 11 | 9 | 2 | n/a | n/a |
| 2021 | Mar 23, 2022 | $645M | $625M | 12 | 9 | 1 | n/a | n/a |
| 2020 | Mar 31, 2021 | $571M | $558M | 12 | 9 | 1 | n/a | n/a |
| 2019 | Mar 27, 2020 | $549M | $534M | 12 | 9 | 1 | n/a | n/a |
| 2018 | Mar 22, 2019 | $503M | $493M | 12 | 9 | 1 | n/a | n/a |
| 2017 | Mar 26, 2018 | $417M | $408M | 10 | 7 | 1 | n/a | n/a |
| 2016 | Mar 30, 2017 | $439M | $430M | 10 | 7 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $434M | $424M | 10 | 7 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $429M | $415M | 10 | 7 | n/a | n/a | n/a |
| 2013 | Mar 26, 2014 | $397M | $380M | 10 | 7 | n/a | n/a | n/a |
| 2012 | Mar 22, 2013 | $355M | $328M | 8 | 5 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $363M | $333M | n/a | n/a | n/a | n/a | 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 | 0 | 0.0% | 0 | 0 | 0 | 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 | $657M | $640M | 2.7% | $620M | 2.0% | 12 | 11 | 2 | 2 |