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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

ONE CAPITAL MANAGEMENT, LLC

CRD 114861

WESTLAKE VILLAGE, 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:fe50bb1b-a8fb-5c7b-0f8f-d5713bcd8c0b

Data as of Aug 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 114
Dated events: 31
On other graphs: 0
Observed: Dec 19, 2011 to Aug 16, 2026
54 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=0.63 fund_share=0.35 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $8.5BItem 5.F on the latest filing (2026-08-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $8.5B
Private client RAUM: $5.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 63%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 64
RAUM per advisor: $133Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 103
Advisory employees: 55
Offices: 12Schedule D 1.F, beyond the principal office
Accounts: 10,969
Individual clients: 2,300
High net worth clients: 1,168
Custody, client assets: $172M
SEC number: 801-60483
CRD: 114861
Filings on the tape: 54
First filed: Dec 19, 2011
Latest filed: Aug 16, 2026
Organised: Limited Liability Company, NV

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 64

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
STEVEN ROBERT COWLEY	n/a	WESTLAKE VILLAGE, CA	22	30	3	no
PATRICK JOSEPH BOWEN	n/a	WESTLAKE VILLAGE, CA	22	31	4	no
LAURA KATHLEEN ZIMMERMAN	Chartered Financial Analyst	WESTLAKE VILLAGE, CA	15	32	1	no
BRAD MARTIN BARRETT	n/a	WESTLAKE VILLAGE, CA	14	17	1	no
WAYNE EDWARD BAXTER	n/a	WESTLAKE VILLAGE, CA	13	24	n/a	no
LANCE WARD MESSERVY	n/a	WESTLAKE VILLAGE, CA	12	12	n/a	no
DAN STRIDSBERG	n/a	WESTLAKE VILLAGE, CA \| Westlake Village, CA \| LAS VEGAS, NV	11	23	1	no
NICHOLAS HUGH MCDONALD	n/a	WESTLAKE VILLAGE, CA \| San Diego, CA	10	15	n/a	no
KEVIN DENNIS BODEN	n/a	WESTLAKE VILLAGE, CA \| San Francisco, CA	9	44	2	no
BENJAMIN RUSSELL GARVIN	Chartered Financial Analyst	WESTLAKE VILLAGE, CA \| Santa Rosa, CA	9	50	1	no
ERIC JOHN HAMEL	Certified Financial Planner	WESTLAKE VILLAGE, CA	6	21	4	no
Ryan Andrew Howard	n/a	WESTLAKE VILLAGE, CA	6	10	n/a	no
KEVIN GARRETT JOHNSON	n/a	THOUSAND OAKS, CA \| WESTLAKE VILLAGE, CA	5	12	1	no
CRANSTON RICHARD GESELL	Certified Financial Planner	WESTLAKE VILLAGE, CA \| THOUSAND OAKS, CA	5	39	1	no
SHEILA TUTTLE CIMINI	n/a	Newport Beach, CA \| WESTLAKE VILLAGE, CA	5	18	1	no
JASON NAHOUL	n/a	WESTLAKE VILLAGE, CA \| NEWPORT BEACH, CA	5	16	2	no
CHAD MICHAEL KESSLER	n/a	WESTLAKE VILLAGE, CA \| Newport Beach, CA	5	21	3	no
SAMANTHA BAKKE	n/a	WESTLAKE VILLAGE, CA	5	16	3	no
Andrew William Whitehouse	n/a	WESTLAKE VILLAGE, CA	4	11	n/a	no
JOHN DOUGLAS CLAGETT	n/a	WESTLAKE VILLAGE, CA \| Fort Collins, CO	4	32	2	no
SEAN MCKEON	n/a	WESTLAKE VILLAGE, CA \| San Francisco, CA	4	36	1	no
DANIEL VICTOR COZANO	n/a	WESTLAKE VILLAGE, CA \| San Francisco, CA	4	20	1	no
MARK HERBERT MILLER	n/a	WESTLAKE VILLAGE, CA	4	16	2	no
CARL EDWARD MUELLER	n/a	WESTLAKE VILLAGE, CA \| Hiawatha, KS	3	38	2	no
KRISTINE J CLAGETT	n/a	Fort Collins, CO \| WESTLAKE VILLAGE, CA	3	16	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
BOWEN, PATRICK, JOSEPH	President	Na	yes	01/2004	Aug 16, 2026	Aug 16, 2026
COWLEY, STEVEN, ROBERT	CHIEF INVESTMENT OFFICER	Na	yes	01/2004	Aug 16, 2026	Aug 16, 2026
MCDONALD, DONALD, HUGH	MANAGING DIRECTOR	Na	yes	08/2001	Aug 16, 2026	Aug 16, 2026
OCM CAPITAL HOLDINGS, LLC	Owner	E	yes	10/2025	Aug 16, 2026	Aug 16, 2026
STRIDSBERG, DAN	MANAGING DIRECTOR	Na	yes	09/2003	Aug 16, 2026	Aug 16, 2026
OCM CAPITAL PARTNERS, LLC	Owner	E	yes	05/2020	May 15, 2020	Dec 11, 2024
Wheeler, Curtis, Matthew	CHIEF COMPLIANCE OFFICER	Na	no	01/2025	Aug 16, 2026	Aug 16, 2026
CI US HOLDINGS, INC.	Owner	D	no	05/2020	May 15, 2020	Dec 11, 2024
OCM HOLDINGS, LLLP	Owner	C	no	05/2020	Mar 12, 2014	Dec 11, 2024

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
OCM INSURANCE SERVICES, LLC	n/a	n/a	n/a	Y	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	5	no
NEWPORT BEACH	CA	United States	3	no
FORT COLLINS	Co	United States	2	no
Chico	CA	United States	1	no
SANTA BARBARA	CA	United States	1	no
Hiawatha	Ks	United States	1	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
2025	Mar 26, 2026	$8.5B	$8.5B	103	55	11	n/a	n/a
2024	Apr 22, 2025	$7.0B	$7.0B	80	46	8	n/a	n/a
2023	Mar 30, 2024	$6.2B	$6.0B	60	41	6	n/a	n/a
2022	Mar 27, 2023	$4.9B	$4.9B	56	44	7	n/a	n/a
2021	Mar 14, 2022	$4.5B	$4.4B	54	36	7	n/a	n/a
2020	Mar 22, 2021	$2.3B	$2.3B	41	29	2	n/a	n/a
2019	Jan 17, 2020	$1.6B	$1.6B	34	21	0	n/a	n/a
2018	Mar 27, 2019	$1.4B	$1.4B	28	16	0	n/a	n/a
2017	Feb 1, 2018	$1.4B	$1.4B	22	15	1	n/a	n/a
2016	Mar 23, 2017	$1.0B	$1.0B	22	15	n/a	n/a	n/a
2015	Mar 7, 2016	$921M	$918M	18	12	n/a	n/a	n/a
2014	Mar 13, 2015	$869M	$865M	16	9	n/a	n/a	n/a
2013	Mar 12, 2014	$676M	$672M	14	10	n/a	n/a	n/a
2012	Mar 27, 2013	$551M	$547M	11	8	n/a	n/a	n/a
2011	Mar 28, 2012	$410M	$407M	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
11	5	6	7.8%	0	2	0	25	12

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	$8.5B	$7.0B	21.8%	$4.9B	19.9%	103	80	12	8

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
BASSO CAPITAL MANAGEMENT, L.P.	2	Jun 10, 2025	Jun 26, 2025	WESTLAKE VILLAGE, CA	Team lift out	RIA to RIA	4.5%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ADVICE AND PLANNING SERVICES	2	Mar 11, 2026	Apr 22, 2026	AUSTIN, TX	Team lift out	Ibd to RIA	0.1%
ADVICE AND PLANNING SERVICES	5	Dec 23, 2025	Mar 17, 2026	ROSWELL, GA	Team lift out	Ibd to RIA	0.3%
ADVICE AND PLANNING SERVICES	2	Sep 10, 2025	Sep 15, 2025	LITTLETON, CO	Team lift out	Ibd to RIA	0.1%
ADVICE AND PLANNING SERVICES	3	Aug 4, 2025	Sep 3, 2025	SHERMAN OAKS, CA	Team lift out	Ibd to RIA	0.2%
ADVICE AND PLANNING SERVICES	2	Aug 4, 2025	Sep 3, 2025	DENVER, CO	Team lift out	Ibd to RIA	0.1%
PROFESSIONAL PLANNING	2	Sep 9, 2022	Oct 30, 2020	THOUSAND OAKS, CA	Team lift out	RIA to RIA	100.0%
FUNDX INVESTMENT GROUP, LLC	5	May 3, 2022	May 2, 2022	SAN FRANCISCO, CA	Firm absorbed	RIA to RIA	100.0%
ADVICE AND PLANNING SERVICES	2	Mar 24, 2021	Mar 22, 2021	SAN FRANCISCO, CA	Team lift out	Ibd to RIA	0.2%
BEACON POINTE ADVISORS, LLC	2	Jan 13, 2020	Jan 14, 2020	NEWPORT BEACH, CA	Team lift out	RIA to RIA	2.8%

Relationships

showing 80 of 114

Registered with (71)

← Spencer Austin WoodAdvisorregistration: current employment
Sep 3, 2026 to presentfactForm ADV
← ANTONIO RHEEAdvisorregistration: current employment
Apr 22, 2026 to presentfactForm ADV
← Daniel KangAdvisorregistration: current employment
Apr 22, 2026 to presentfactForm ADV
← BRADY EDWARD NANCEAdvisorregistration: current employment
Mar 17, 2026 to presentfactForm ADV
← Jared Daniel OsborneAdvisorregistration: current employment
Mar 16, 2026 to presentfactForm ADV
← Changhao MengAdvisorregistration: current employment
Mar 11, 2026 to presentfactForm ADV
← Joshua O'HandleyAdvisorregistration: current employment
Mar 4, 2026 to presentfactForm ADV
← MARK JEFFREY BINDERAdvisorregistration: current employment
Feb 9, 2026 to presentfactForm ADV
← Michael John ChisickAdvisorregistration: current employment
Feb 9, 2026 to presentfactForm ADV
← ROSS TREVOR LLOYDAdvisorregistration: current employment
Feb 5, 2026 to presentfactForm ADV
← Hayden Barre-HenusetAdvisorregistration: current employment
Jan 14, 2026 to presentfactForm ADV
← Sean BinghamAdvisorregistration: current employment
Jan 6, 2026 to presentfactForm ADV
← DONALD HUGH MCDONALDAdvisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← Liam O'HaraAdvisorregistration: current employment
Nov 16, 2025 to presentfactForm ADV
← Audra Lynn MascheAdvisorregistration: current employment
Sep 19, 2025 to presentfactForm ADV
← JOEL RICHARD HAHNAdvisorregistration: current employment
Sep 15, 2025 to presentfactForm ADV
← Adele Emma YoungAdvisorregistration: current employment
Sep 15, 2025 to presentfactForm ADV
← MATTHEW S STEPHENSONAdvisorregistration: current employment
Sep 3, 2025 to presentfactForm ADV
← Timothy Patrick SheldonAdvisorregistration: current employment
Sep 3, 2025 to presentfactForm ADV
← JAMES HOWARD NITCHKEAdvisorregistration: current employment
Sep 3, 2025 to presentfactForm ADV
← Derek Michael SchwartzAdvisorregistration: current employment
Sep 3, 2025 to presentfactForm ADV
← Nicholas Wesley GardnerAdvisorregistration: current employment
Sep 3, 2025 to presentfactForm ADV
← Zachary Logan SteinAdvisorregistration: current employment
Sep 3, 2025 to presentfactForm ADV
← Sarah E SlusherAdvisorregistration: current employment
Sep 3, 2025 to presentfactForm ADV
← Riley David LopezAdvisorregistration: current employment
Jul 23, 2025 to presentfactForm ADV
← Aiden ClarkAdvisorregistration: current employment
Jul 22, 2025 to presentfactForm ADV
← ERIC EDWARD SWANSONAdvisorregistration: current employment
Jun 5, 2025 to presentfactForm ADV
← Bryce FehmelAdvisorregistration: current employment
May 20, 2025 to presentfactForm ADV
← Jason Edward ThomasAdvisorregistration: current employment
Apr 11, 2025 to presentfactForm ADV
← Niklas AxelsenAdvisorregistration: current employment
Feb 26, 2025 to presentfactForm ADV
and 41 more

Affiliated with (3)

← CORIENTRegistered adviserother investment adviser, common control
factForm ADV
← SOCIUS FAMILY OFFICE, LLCRegistered adviserother investment adviser, common control
factForm ADV
← PROFESSIONAL PLANNINGRegistered adviserother investment adviser, common control
factForm ADV

Moved with (2)

← ADVICE AND PLANNING SERVICESRegistered adviser2 advisors, team lift out
Mar 11, 2026 to Apr 22, 2026factForm ADV
→ BASSO CAPITAL MANAGEMENT, L.P.Registered adviser2 advisors, team lift out
Jun 10, 2025 to Jun 26, 2025factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 30, 2026
Advisor changed firm
Vincent Arthur Nuno left One Capital Management, Llc for Fisher Investments (registered 2026-08-19)
Form ADVobserved 4 days ago
Occurred
Jul 20, 2026
Advisor changed firm
Nicholas Costas left One Capital Management, Llc for Ep Wealth Advisors (registered 2026-07-14)
Form ADVobserved 4 days ago
Occurred
Jun 2, 2026
Advisor changed firm
Mark Daniel Dickamore left One Capital Management, Llc for Cetera Investment Advisers Llc (registered 2026-06-15)
Form ADVobserved 4 days ago
Occurred
Mar 26, 2026
Advisor headcount changed
One Capital Management, Llc reported 68 state-registered advisory representatives, up from 46 (2025-11-14 to 2026-03-26)
Form ADVobserved 4 days ago
22 IARS
Occurred
Mar 11, 2026
Team lift-out
2 advisors left Advice And Planning Services (Austin, TX) for One Capital Management, LLC within 12 days
Form ADVobserved 4 days ago
2 advisors
Occurred
Dec 23, 2025
Team lift-out
5 advisors left Advice And Planning Services (Roswell, GA) for One Capital Management, LLC within 10 days
Form ADVobserved 4 days ago
5 advisors
Occurred
Dec 9, 2025
Advisor changed firm
Zachary Bullard left One Capital Management, Llc for Mariner (registered 2026-06-29)
Form ADVobserved 4 days ago
Occurred
Oct 28, 2025
Advisor changed firm
Drew C Dieffenbach left One Capital Management, Llc for Morgan Stanley (registered 2025-12-09)
Form ADVobserved 4 days ago
Occurred
Sep 10, 2025
Team lift-out
2 advisors left Advice And Planning Services (Littleton, CO) for One Capital Management, LLC within 7 days
Form ADVobserved 4 days ago
2 advisors
Occurred
Sep 4, 2025
Advisor changed firm
Matthew James Kitzman left One Capital Management, Llc for Greenup Street Wealth Management Llc (registered 2025-09-09)
Form ADVobserved 4 days ago
Occurred
Aug 4, 2025
Team lift-out
2 advisors left Advice And Planning Services (Glendale, CO) for One Capital Management, LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Aug 4, 2025
Team lift-out
3 advisors left Advice And Planning Services (Sherman Oaks, CA) for One Capital Management, LLC within 4 days
Form ADVobserved 4 days ago
3 advisors
Occurred
Jun 16, 2025
Advisor changed firm
Rohan Ramesh Nayak left One Capital Management, Llc for Basso Capital Management, L.P. (registered 2025-06-26)
Form ADVobserved 4 days ago
Occurred
Jun 10, 2025
Team lift-out
2 advisors left One Capital Management, LLC (San Francisco, CA) for Basso Capital Management, L.P. within 6 days
Form ADVobserved 4 days ago
2 advisors
Occurred
Jun 10, 2025
Advisor changed firm
Mark Dea left One Capital Management, Llc for Basso Capital Management, L.P. (registered 2025-06-26)
Form ADVobserved 4 days ago
Occurred
Feb 11, 2025
Advisor changed firm
Janet Marie Brown left One Capital Management, Llc for Basso Capital Management, L.P. (registered 2026-01-01)
Form ADVobserved 4 days ago
Occurred
Nov 5, 2024
Advisor changed firm
Gary Keith Dorfman left One Capital Management, Llc for Strive Asset Management (registered 2024-12-13)
Form ADVobserved 4 days ago
Occurred
Oct 2, 2024
Advisor changed firm
Randol Wilson Curtis left One Capital Management, Llc for Thryve Wealth Management (registered 2025-10-16)
Form ADVobserved 4 days ago
Occurred
Jul 15, 2024
Advisor changed firm
Martin Richard Devault left One Capital Management, Llc for Lpl Financial Llc (registered 2026-05-04)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2024
Regulatory AUM changed
One Capital Management, Llc reported RAUM $6.2B, up 26% from $4.9B (2023-04-17 to 2024-03-30)
Form ADVobserved 4 days ago
$1.3B
Occurred
Jul 17, 2023
Advisor changed firm
Brooks Allen left One Capital Management, Llc for Planmember Securities Corporation (registered 2024-05-13)
Form ADVobserved 4 days ago
Occurred
Sep 12, 2022
Advisor changed firm
Josh Alan Pollard left One Capital Management, Llc for Fern Financial Group, Llc (registered 2022-09-16)
Form ADVobserved 4 days ago
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 4 days ago
2 advisors
Occurred
May 3, 2022
Firm absorbed
Fundx Investment Group, LLC's advisors moved to One Capital Management, LLC (San Francisco, CA): 5 of 5 registered, a day apart
Form ADVobserved 4 days ago
5 advisors
Occurred
Mar 14, 2022
Regulatory AUM changed
One Capital Management, Llc reported RAUM $4.5B, up 95% from $2.3B (2021-11-05 to 2022-03-14)
Form ADVobserved 4 days ago
$2.2B
Occurred
Mar 1, 2022
Advisor changed firm
Guillermo Gutierrez left One Capital Management, Llc for Fsc Securities Corporation (registered 2022-03-23)
Form ADVobserved 4 days ago
Occurred
Jan 28, 2022
Advisor changed firm
Michael Robert Galanowsky left One Capital Management, Llc for Manhattan West Asset Management, Llc (registered 2022-03-02)
Form ADVobserved 4 days ago
Occurred
Mar 22, 2021
Regulatory AUM changed
One Capital Management, Llc reported RAUM $2.3B, up 39% from $1.6B (2020-12-10 to 2021-03-22)
Form ADVobserved 4 days ago
$637M
Occurred
Jan 16, 2018
Regulatory AUM changed
One Capital Management, Llc reported RAUM $1.4B, up 32% from $1.0B (2017-09-29 to 2018-01-16)
Form ADVobserved 4 days ago
$328M
Occurred
Sep 3, 2014
Succession filed (Item 4)
One Capital Management, Lllp reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Mar 27, 2023
One Capital Management, Llc reported 46 state-registered advisory representatives, up from 36 (2022-12-08 to 2023-03-27)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fe50bb1b-a8fb-5c7b-0f8f-d5713bcd8c0b
First observed: Dec 19, 2011
Last observed: Aug 16, 2026 34 days 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.

ONE CAPITAL MANAGEMENT, LLC

CRD 114861

WESTLAKE VILLAGE, 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:fe50bb1b-a8fb-5c7b-0f8f-d5713bcd8c0b

Data as of Aug 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:38 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

STEVEN ROBERT COWLEY

n/a

WESTLAKE VILLAGE, CA

PATRICK JOSEPH BOWEN

n/a

WESTLAKE VILLAGE, CA

LAURA KATHLEEN ZIMMERMAN

Chartered Financial Analyst

WESTLAKE VILLAGE, CA

BRAD MARTIN BARRETT

n/a

WESTLAKE VILLAGE, CA

WAYNE EDWARD BAXTER

n/a

WESTLAKE VILLAGE, CA

n/a

LANCE WARD MESSERVY

n/a

WESTLAKE VILLAGE, CA

n/a

DAN STRIDSBERG

n/a

WESTLAKE VILLAGE, CA | Westlake Village, CA | LAS VEGAS, NV

NICHOLAS HUGH MCDONALD

n/a

WESTLAKE VILLAGE, CA | San Diego, CA

n/a

KEVIN DENNIS BODEN

n/a

WESTLAKE VILLAGE, CA | San Francisco, CA

BENJAMIN RUSSELL GARVIN

Chartered Financial Analyst

WESTLAKE VILLAGE, CA | Santa Rosa, CA

ERIC JOHN HAMEL

Certified Financial Planner

WESTLAKE VILLAGE, CA

Ryan Andrew Howard

n/a

WESTLAKE VILLAGE, CA

n/a

KEVIN GARRETT JOHNSON

n/a

THOUSAND OAKS, CA | WESTLAKE VILLAGE, CA

CRANSTON RICHARD GESELL

Certified Financial Planner

WESTLAKE VILLAGE, CA | THOUSAND OAKS, CA

SHEILA TUTTLE CIMINI

n/a

Newport Beach, CA | WESTLAKE VILLAGE, CA

JASON NAHOUL

n/a

WESTLAKE VILLAGE, CA | NEWPORT BEACH, CA

CHAD MICHAEL KESSLER

n/a

WESTLAKE VILLAGE, CA | Newport Beach, CA

SAMANTHA BAKKE

n/a

WESTLAKE VILLAGE, CA

Andrew William Whitehouse

n/a

WESTLAKE VILLAGE, CA

n/a

JOHN DOUGLAS CLAGETT

n/a

WESTLAKE VILLAGE, CA | Fort Collins, CO

SEAN MCKEON

n/a

WESTLAKE VILLAGE, CA | San Francisco, CA

DANIEL VICTOR COZANO

n/a

WESTLAKE VILLAGE, CA | San Francisco, CA

MARK HERBERT MILLER

n/a

WESTLAKE VILLAGE, CA

CARL EDWARD MUELLER

n/a

WESTLAKE VILLAGE, CA | Hiawatha, KS

KRISTINE J CLAGETT

n/a

Fort Collins, CO | WESTLAKE VILLAGE, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOWEN, PATRICK, JOSEPH

President

yes

01/2004

Aug 16, 2026

COWLEY, STEVEN, ROBERT

CHIEF INVESTMENT OFFICER

yes

01/2004

Aug 16, 2026

MCDONALD, DONALD, HUGH

MANAGING DIRECTOR

yes

08/2001

Aug 16, 2026

OCM CAPITAL HOLDINGS, LLC

Owner

yes

10/2025

Aug 16, 2026

STRIDSBERG, DAN

MANAGING DIRECTOR

yes

09/2003

Aug 16, 2026

OCM CAPITAL PARTNERS, LLC

Owner

yes

05/2020

May 15, 2020

Dec 11, 2024

Wheeler, Curtis, Matthew

CHIEF COMPLIANCE OFFICER

01/2025

Aug 16, 2026

CI US HOLDINGS, INC.

Owner

05/2020

May 15, 2020

Dec 11, 2024

OCM HOLDINGS, LLLP

Owner

05/2020

Mar 12, 2014

Dec 11, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

OCM INSURANCE SERVICES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

NEWPORT BEACH

United States

FORT COLLINS

United States

Chico

United States

SANTA BARBARA

United States

Hiawatha

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 26, 2026

$8.5B

103

n/a

2024

Apr 22, 2025

$7.0B

n/a

2023

Mar 30, 2024

$6.2B

$6.0B

n/a

2022

Mar 27, 2023

$4.9B

n/a

2021

Mar 14, 2022

$4.5B

$4.4B

n/a

2020

Mar 22, 2021

$2.3B

n/a

2019

Jan 17, 2020

$1.6B

n/a

2018

Mar 27, 2019

$1.4B

n/a

2017

Feb 1, 2018

$1.4B

n/a

2016

Mar 23, 2017

$1.0B

n/a

2015

Mar 7, 2016

$921M

$918M

n/a

2014

Mar 13, 2015

$869M

$865M

n/a

2013

Mar 12, 2014

$676M

$672M

n/a

2012

Mar 27, 2013

$551M

$547M

n/a

2011

Mar 28, 2012

$410M

$407M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

7.8%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$8.5B

$7.0B

21.8%

$4.9B

19.9%

103

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BASSO CAPITAL MANAGEMENT, L.P.

Jun 10, 2025

Jun 26, 2025

WESTLAKE VILLAGE, CA

Team lift out

RIA to RIA

4.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ADVICE AND PLANNING SERVICES

Mar 11, 2026

Apr 22, 2026

AUSTIN, TX

Team lift out

Ibd to RIA

0.1%

ADVICE AND PLANNING SERVICES

Dec 23, 2025

Mar 17, 2026

ROSWELL, GA

Team lift out

Ibd to RIA

0.3%

ADVICE AND PLANNING SERVICES

Sep 10, 2025

Sep 15, 2025

LITTLETON, CO

Team lift out

Ibd to RIA

0.1%

ADVICE AND PLANNING SERVICES

Aug 4, 2025

Sep 3, 2025

SHERMAN OAKS, CA

Team lift out

Ibd to RIA

0.2%

ADVICE AND PLANNING SERVICES

Aug 4, 2025

Sep 3, 2025

DENVER, CO

Team lift out

Ibd to RIA

0.1%

PROFESSIONAL PLANNING

Sep 9, 2022

Oct 30, 2020

THOUSAND OAKS, CA

Team lift out

RIA to RIA

100.0%

FUNDX INVESTMENT GROUP, LLC

May 3, 2022

May 2, 2022

SAN FRANCISCO, CA

Firm absorbed

RIA to RIA

100.0%

ADVICE AND PLANNING SERVICES

Mar 24, 2021

Mar 22, 2021

SAN FRANCISCO, CA

Team lift out

Ibd to RIA

0.2%

BEACON POINTE ADVISORS, LLC

Jan 13, 2020

Jan 14, 2020

NEWPORT BEACH, CA

Team lift out

RIA to RIA

2.8%