DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

NEWPORT COAST ASSET MANAGEMENT

NEWPORT COAST SECURITIES, INC., CRD 16944

NEW YORK, NY

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:f0e9fba0-71a5-da25-50ae-2295c1f0f4cd

Data as of Mar 18, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 50
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 18, 2016
20 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: $79.0MItem 5.F on the latest filing (2016-03-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $79.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 130
Advisory employees: 25
Accounts: 557
SEC number: 801-67802
CRD: 16944
Filings on the tape: 20
First filed: Mar 30, 2012
Latest filed: Mar 18, 2016
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
KESSLER, KRISTOPHER CHARLES	Coo	Na	yes	09/2010	Mar 30, 2012	Mar 18, 2016
LEE, KEVIN CHONG	CHIEF COMPLIANCE OFFICER	Na	yes	08/2013	Mar 26, 2014	Mar 18, 2016
ONESTO, RICHARD ERNEST	FINOP/CFO	Na	yes	03/2013	Mar 8, 2013	Mar 18, 2016
RUBICON FINANCIAL INCORPORATED	Owner	E	yes	09/2007	Mar 30, 2012	Mar 18, 2016

Offices

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

City	State	Country	Employees	Also broker-dealer
HUNTINGTON BEACH	CA	United States	n/a	no
Irvine	CA	United States	n/a	no
NEWPORT BEACH	CA	United States	n/a	no
SAN DIEGO	CA	United States	n/a	no
Torrance	CA	United States	n/a	no
Tustin	CA	United States	n/a	no
WESTLAKE VILLAGE	CA	United States	n/a	no
Denver	Co	United States	n/a	no
Gainesville	Ga	United States	n/a	no
Honolulu	Hi	United States	n/a	no
Boise	Id	United States	n/a	no
Easton	Md	United States	n/a	no
Leeburg	Va	United States	n/a	no
n/a	n/a	n/a	n/a	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
2015	Mar 18, 2016	$79.0M	$79.0M	130	25	n/a	n/a	n/a
2014	Mar 31, 2015	$79.0M	$79.0M	130	25	n/a	n/a	n/a
2013	Mar 26, 2014	$81.4M	$81.4M	130	35	n/a	n/a	n/a
2012	Apr 12, 2013	$35.0M	$35.0M	150	30	n/a	n/a	n/a
2011	Mar 30, 2012	$21.0M	$0	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
2015	$79.0M	$79.0M	0.0%	$35.0M	31.2%	130	130	n/a	n/a

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
WESTPARK CAPITAL, INC.	2	Sep 1, 2016	Jan 1, 2026	IRVINE, CA	Team lift out	Other	50.0%
NEWPORT COAST ASSET MANAGEMENT, INC.	2	Jul 20, 2016	Feb 9, 2015	IRVINE, CA	Channel change	Other	12.5%
WESTPARK CAPITAL, INC.	5	Jul 20, 2016	Jan 4, 2025	IRVINE, CA	Team lift out	Other	31.3%
WESTPARK CAPITAL, INC.	2	Jul 20, 2016	Mar 27, 2019	NEW YORK, NY	Team lift out	Other	12.5%
CALTON & ASSOCIATES, INC.	2	Feb 17, 2015	Feb 23, 2015	ODESSA, FL	Team lift out	Other	8.7%

Relationships

Controls (4)

← ONESTO, RICHARD ERNESTOwnerFINOP/CFO, ownership code NA, individual
Mar 8, 2013 to presentfactForm ADV
← LEE, KEVIN CHONGOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 26, 2014 to presentfactForm ADV
← KESSLER, KRISTOPHER CHARLESOwnerCOO, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← RUBICON FINANCIAL INCORPORATEDOwnerOWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Affiliated with (1)

← NEWPORT COAST ASSET MANAGEMENT, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Moved with (3)

→ WESTPARK CAPITAL, INC.Registered adviser2 advisors, team lift out, same day
Sep 1, 2016 to Jan 1, 2026factForm ADV
→ CALTON & ASSOCIATES, INC.Registered adviser2 advisors, team lift out, same day
Feb 17, 2015 to Feb 23, 2015factForm ADV
→ NEWPORT COAST ASSET MANAGEMENT, INC.Registered adviser2 advisors, team lift out, same day
Jul 20, 2016 to Feb 9, 2015factForm ADV

Registered with (39)

← LEONARD DALE WYSSAdvisorregistration: previous registration
Nov 7, 2008 to Sep 1, 2016factForm ADV
← RAY WOOK KIMAdvisorregistration: previous registration
May 19, 2010 to Sep 1, 2016factForm ADV
← JUSTIN MATTHEW SMITHAdvisorregistration: previous registration
Mar 17, 2015 to Sep 1, 2016factForm ADV
← JEFF W WEBBAdvisorregistration: previous registration
Jul 15, 2015 to Sep 1, 2016factForm ADV
← PHILLIP RICHARD ANTONAdvisorregistration: previous registration
Dec 23, 2009 to Aug 30, 2016factForm ADV
← KATHLEEN ANN COVEYAdvisorregistration: previous registration
Jan 6, 2009 to Aug 22, 2016factForm ADV
← SCOT BARRINGERAdvisorregistration: previous registration
May 4, 2009 to Aug 8, 2016factForm ADV
← EDWIN TOMOHIRO SUZUKIAdvisorregistration: previous registration
May 19, 2010 to Aug 8, 2016factForm ADV
← KRISTOPHER CHARLES KESSLERAdvisorregistration: previous registration
Sep 6, 2007 to Aug 2, 2016factForm ADV
← CURTIS JERALD HABSIEGERAdvisorregistration: previous registration
Jan 6, 2015 to Jul 28, 2016factForm ADV
← SUSAN SAJJADIAdvisorregistration: previous registration
Jan 31, 2013 to Jul 20, 2016factForm ADV
← THOMAS EDWARD JANDTAdvisorregistration: previous registration
Jun 8, 2010 to Jul 20, 2016factForm ADV
← RICHARD COLBY MCFADDENAdvisorregistration: previous registration
Nov 5, 2010 to Jul 20, 2016factForm ADV
← VIKAS GOELAdvisorregistration: previous registration
Feb 3, 2012 to Jul 20, 2016factForm ADV
← Austin Bickford KingAdvisorregistration: previous registration
Feb 16, 2016 to Jul 20, 2016factForm ADV
← DAVID BERNARD LEVINSONAdvisorregistration: previous registration
Jan 9, 2008 to Jul 20, 2016factForm ADV
← BRADFORD DALE SZCZECINSKIAdvisorregistration: previous registration
Aug 30, 2013 to Mar 29, 2016factForm ADV
← THEODORE RICHARD AUGUSTYNIAKAdvisorregistration: previous registration
Sep 3, 2013 to Mar 29, 2016factForm ADV
← RICHARD JOSEPH RIZZUTOAdvisorregistration: previous registration
Jun 5, 2012 to Jan 25, 2016factForm ADV
← Carmencita Protacio CalawayAdvisorregistration: previous registration
Sep 13, 2012 to Jan 4, 2016factForm ADV
← MICHAEL PATRICK NIXONAdvisorregistration: previous registration
Feb 26, 2013 to Dec 8, 2015factForm ADV
← MATTHEW DAVID ALBERSAdvisorregistration: previous registration
Feb 28, 2013 to Dec 8, 2015factForm ADV
← Kelly BeldenAdvisorregistration: previous registration
Oct 13, 2014 to May 5, 2015factForm ADV
← JOHN JOSEPH MCCAULEYAdvisorregistration: previous registration
Jan 22, 2015 to Mar 26, 2015factForm ADV
← ANTHONY CHARLES SMITHAdvisorregistration: previous registration
Oct 13, 2010 to Feb 17, 2015factForm ADV
← PAUL WILLIAM MURPHYAdvisorregistration: previous registration
Mar 7, 2008 to Feb 17, 2015factForm ADV
← LUIS MANUEL ESPINOZAAdvisorregistration: previous registration
Jun 27, 2012 to Oct 22, 2014factForm ADV
← KATHRYN LOUISE FITZGERALDAdvisorregistration: previous registration
Mar 16, 2010 to Jul 25, 2014factForm ADV
← STEVEN KENNETH SMARTTAdvisorregistration: previous registration
Apr 1, 2011 to May 28, 2014factForm ADV
← AARON GREGORY COOKAdvisorregistration: previous registration
Jul 31, 2012 to Dec 5, 2013factForm ADV
and 9 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f0e9fba0-71a5-da25-50ae-2295c1f0f4cd
First observed: Mar 30, 2012
Last observed: Mar 18, 2016 127 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.

NEWPORT COAST ASSET MANAGEMENT

NEWPORT COAST SECURITIES, INC., CRD 16944

NEW YORK, NY

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:f0e9fba0-71a5-da25-50ae-2295c1f0f4cd

Data as of Mar 18, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:05 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KESSLER, KRISTOPHER CHARLES

Coo

yes

09/2010

Mar 30, 2012

Mar 18, 2016

LEE, KEVIN CHONG

CHIEF COMPLIANCE OFFICER

yes

08/2013

Mar 26, 2014

Mar 18, 2016

ONESTO, RICHARD ERNEST

FINOP/CFO

yes

03/2013

Mar 8, 2013

Mar 18, 2016

RUBICON FINANCIAL INCORPORATED

Owner

yes

09/2007

Mar 30, 2012

Mar 18, 2016

City

State

Country

Employees

Also broker-dealer

HUNTINGTON BEACH

United States

n/a

Irvine

United States

n/a

NEWPORT BEACH

United States

n/a

SAN DIEGO

United States

n/a

Torrance

United States

n/a

Tustin

United States

n/a

WESTLAKE VILLAGE

United States

n/a

Denver

United States

n/a

Gainesville

United States

n/a

Honolulu

United States

n/a

Boise

United States

n/a

Easton

United States

n/a

Leeburg

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 18, 2016

$79.0M

130

n/a

2014

Mar 31, 2015

$79.0M

130

n/a

2013

Mar 26, 2014

$81.4M

130

n/a

2012

Apr 12, 2013

$35.0M

150

n/a

2011

Mar 30, 2012

$21.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$79.0M

0.0%

$35.0M

31.2%

130

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WESTPARK CAPITAL, INC.

Sep 1, 2016

Jan 1, 2026

IRVINE, CA

Team lift out

Other

50.0%

NEWPORT COAST ASSET MANAGEMENT, INC.

Jul 20, 2016

Feb 9, 2015

IRVINE, CA

Channel change

Other

12.5%

WESTPARK CAPITAL, INC.

Jul 20, 2016

Jan 4, 2025

IRVINE, CA

Team lift out

Other

31.3%

WESTPARK CAPITAL, INC.

Jul 20, 2016

Mar 27, 2019

NEW YORK, NY

Team lift out

Other

12.5%

CALTON & ASSOCIATES, INC.

Feb 17, 2015

Feb 23, 2015

ODESSA, FL

Team lift out

Other

8.7%