DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Manchester Financial Inc
Latest filing Aug 21, 2026
First filing on the tape Mar 29, 2012 · 29 filings
SEC status approved since Sep 14, 1990
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.0B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$95.1M
derived; firm RAUM over IAPD count
Employees
19
14 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.0B as of Aug 21, 2026
Mar 29, 2012$320M then
HNW client RAUM$843M as of Aug 21, 2026
Mar 29, 2018$430M then
State-registered IARs (5.B.3)11 as of Aug 21, 2026
Mar 29, 20120 then
Employees (5.A)19 as of Aug 21, 2026
Apr 2, 201314 then
Private funds: no history
RAUM +10% over the last fiscal year+9.4% a year over threeIARs 12 to 11
Practice profile
derived from the filing of Aug 21, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $95.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $426,508derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- -8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assets, hourly, performance-based, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $509M, 397 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$843M81%
- Individuals$181M17%
- Pension and profit-sharing plans$17.0M1.6%
- Corporations and businesses$4.3M0.4%
- Individual clients
- 696reported
- HNW clients
- 322reported
- Pension plan clients
- 55reported
- Charitable clients
- n/areported
- Accounts
- 2,453reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $509M for 397 clientsreported
- Compensation
- % of AUM, hourly, performance, commissionsreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert James Katch | Westlake Village, Ca | Jan 15, 2003 | 36 y | 2 |
| Alan Scott Hopkins | Westlake Village, Ca | Jan 15, 2003 | 34 y | 2 |
| Laura Jo NavarroCertified Financial Planner | Westlake Village, Ca | Jun 8, 2015 | 25 y | 0 |
| Steven Scott | Westlake Village, Ca | Jun 9, 2015 | 15 y | 2 |
| Mark Weiderman | Westlake Village, Ca | Jun 9, 2015 | 36 y | 3 |
| Scott Vincent Whitney | Scottsdale, Az | Mar 3, 2017 | 32 y | 2 |
| Seth Christian CataneseCertified Financial Planner | Westlake Village, Ca | Jun 12, 2017 | 11 y | 0 |
| Steven Michael Rezzelle | Westlake Village, Ca | Apr 13, 2021 | 14 y | 1 |
| Janika Domingo | Westlake Village, Ca | Jun 28, 2021 | 12 y | 0 |
| Franklin Scheneck Whitehouse | Westlake Village, Ca | Sep 8, 2021 | 31 y | 1 |
| Mario Valverde | Westlake Village, Ca | Aug 11, 2023 | 17 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Andrew Joseph Chen to Cliftonlarsonallen Wealth Advisors, LLCMar 13, 2025 · RIA to affiliated broker-dealer or bank
- Jennifer Marie Caruso to Morton WealthAug 14, 2023 · RIA to RIA
- David Lee Bryant to Strava Financial, LLCNov 29, 2019 · RIA to RIA
- Hannah Elizabeth Oaks Boundy to Cedarstone AdvisorsApr 1, 2015 · Other
- Matthew Glenn Davis to Cedarstone AdvisorsOct 27, 2014 · Other
- Steve Harlan Coker to Cedarstone AdvisorsOct 14, 2014 · Other
Joined, latest
- Mario Valverde from Fidelity Personal And Workplace AdvisorsAug 11, 2023 · Affiliated broker-dealer or bank to independent RIA
- Franklin Scheneck Whitehouse from One Capital Management, LLCSep 8, 2021 · RIA to RIA
- Steven Michael Rezzelle from Fidelity Personal And Workplace AdvisorsApr 13, 2021 · Affiliated broker-dealer or bank to independent RIA
- Scott Vincent Whitney from Harold Davidson & Associates, IncMar 3, 2017 · Other
- Mark Weiderman from UBS Financial Services Inc.Jun 9, 2015 · Other
- Steven Scott from Wells Fargo AdvisorsJun 9, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Scott Alan Hopkins · Chief Economist Strategistcontrolsince 07/1995 · owns less than 5%
- James Robert Katch · President/Chief Compliance Officercontrolsince 07/1990 · owns 75% or more
Related persons
Schedule D 7.A
- Alan Hopkinspooled vehicle sponsory
- Manchester Financial & Insurance Servicesreal estatey
- Robert Katchpooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westlake Village, Ca · principal | 11 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Carefree, AZ1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 1,007.0 to 2,453.0 (+144.0%) between the annual amendments of 2025-03-21 and 2026-03-27; the peer median change was +6.0% (1206 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 1,007 to 2,453Sep 15, 2025 to Mar 27, 2026
- Advisory employees · 15 to 14Sep 15, 2025 to Mar 27, 2026
- Corporate clients · 30 to 29Sep 15, 2025 to Mar 27, 2026
- HNW clients · 282 to 322Sep 15, 2025 to Mar 27, 2026
- Individual clients · 674 to 696Sep 15, 2025 to Mar 27, 2026
- Pension plan clients · 21 to 55Sep 15, 2025 to Mar 27, 2026
- Assets in custody · $458M to $509MSep 15, 2025 to Mar 27, 2026
- Employees · 20 to 19Sep 15, 2025 to Mar 27, 2026
- State-registered IARs · 12 to 11Sep 15, 2025 to Mar 27, 2026
- Discretionary RAUM · $947M to $1.0BSep 15, 2025 to Mar 27, 2026
- HNW RAUM · $715M to $843MSep 15, 2025 to Mar 27, 2026
- Individual RAUM · $218M to $181MSep 15, 2025 to Mar 27, 2026
- Pension RAUM · $9.3M to $17.0MSep 15, 2025 to Mar 27, 2026
- RAUM · $947M to $1.0BSep 15, 2025 to Mar 27, 2026
- Accounts · 2,304 to 1,007Oct 28, 2024 to Mar 21, 2025
- Advisory employees · 12 to 15Oct 28, 2024 to Mar 21, 2025
- Corporate clients · 29 to 30Oct 28, 2024 to Mar 21, 2025
- HNW clients · 250 to 282Oct 28, 2024 to Mar 21, 2025
- Individual clients · 704 to 674Oct 28, 2024 to Mar 21, 2025
- Pension plan clients · 19 to 21Oct 28, 2024 to Mar 21, 2025
- Assets in custody · $517M to $458MOct 28, 2024 to Mar 21, 2025
- Employees · 19 to 20Oct 28, 2024 to Mar 21, 2025
- Financial planning clients · 251-500 to 251-500Oct 28, 2024 to Mar 21, 2025
- Discretionary RAUM · $855M to $947MOct 28, 2024 to Mar 21, 2025
- HNW RAUM · $618M to $715MOct 28, 2024 to Mar 21, 2025
- Individual RAUM · $225M to $218MOct 28, 2024 to Mar 21, 2025
- Pension RAUM · $7.5M to $9.3MOct 28, 2024 to Mar 21, 2025
- RAUM · $855M to $947MOct 28, 2024 to Mar 21, 2025
- Accounts · 2,320 to 2,304Mar 6, 2023 to Mar 25, 2024
- Advisory employees · 11 to 12Mar 6, 2023 to Mar 25, 2024
- Charity clients · 2.0 to unsetMar 6, 2023 to Mar 25, 2024
- Corporate clients · 27 to 29Mar 6, 2023 to Mar 25, 2024
- HNW clients · 225 to 250Mar 6, 2023 to Mar 25, 2024
- Individual clients · 742 to 704Mar 6, 2023 to Mar 25, 2024
- Pension plan clients · 18 to 19Mar 6, 2023 to Mar 25, 2024
- Commission compensation · false to trueMar 6, 2023 to Mar 25, 2024
- Assets in custody · $522M to $517MMar 6, 2023 to Mar 25, 2024
- Employees · 18 to 19Mar 6, 2023 to Mar 25, 2024
- State-registered IARs · 11 to 12Mar 6, 2023 to Mar 25, 2024
- Discretionary RAUM · $798M to $855MMar 6, 2023 to Mar 25, 2024
Signals
3 dated events
- Andrew Joseph Chen left Manchester Financial Inc for Cliftonlarsonallen Wealth Advisors, Llc (registered 2025-03-27)Mar 13, 2025 · Advisor changed firm · fact
- Jennifer Marie Caruso left Manchester Financial Inc for Morton Wealth (registered 2025-01-01)Aug 14, 2023 · Advisor changed firm · fact
- Manchester Financial Inc reported RAUM $669.6M, up 33% from $503.9M (2017-05-17 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- advisor@manchesterfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-495-4405reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/MANCHESTER-FINANCIALreportedpublic record, Form ADV, Sep 17, 2026
- Website
- MANCHESTERFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 805-495-4405reportedpublic record, Form ADV, Aug 21, 2026
- Team page
- manchesterfinancial.com/our-company/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $95.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026