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
Claremont Financial Group,Inc.
Latest filing Jul 21, 2026
First filing on the tape Mar 28, 2012 · 34 filings
SEC status approved since May 11, 2000
RAUM
$140M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$139M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$140M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$140M as of Jul 21, 2026
Mar 28, 2012$96.4M then
HNW client RAUM$66.6M as of Jul 21, 2026
Mar 21, 2018$35.8M then
State-registered IARs (5.B.3)1 as of Jul 21, 2026
Mar 28, 20133 then
Employees (5.A)4 as of Jul 21, 2026
Mar 28, 20135 then
Private funds: no history
RAUM +18% over the last fiscal year+12% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $140MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 275derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $259,191derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $37.5M, 194 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$72.6M52%
- High-net-worth individuals$66.6M48%
- Charitable organizations$731,2590.5%
- Individual clients
- 240reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 540reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $37.5M for 194 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Gaetano Henry Scalzo | Claremont, Ca | Mar 17, 2021 | 11 y | 0 |
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 headcount0 left over 36 months
Left, latest
- Matthew John Turnbull to Turnbull Financial Services LLCOct 15, 2018 · RIA to a state-registered adviser
- Thuy Diem Nguyen to Associated Securities Corp.Jul 29, 2004 · Other
- Aryn Patrice Sands to Gold Coast Securities, Inc.Apr 8, 2003 · Other
Joined, latest
- Thuy Diem Nguyen from Associated Planners Investment Advisory IncMar 18, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Leroy Bruce Davidson · Chief Compliance Officercontrolsince 11/2018 · owns less than 5%
- Thomas Gaetan Scalzo · Equity Partner/President/Ceo/Cfo/Secretarycontrolsince 11/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Costa Mesa, CA2 employees
What changed
consecutive filings, newest first
- Accounts · 518 to 540Dec 9, 2025 to Mar 12, 2026
- Advisory employees · 2 to 1Dec 9, 2025 to Mar 12, 2026
- BD registered reps · 2 to 1Dec 9, 2025 to Mar 12, 2026
- HNW clients · 31 to 35Dec 9, 2025 to Mar 12, 2026
- Individual clients · 274 to 240Dec 9, 2025 to Mar 12, 2026
- Assets in custody · unset to 37497972.0Dec 9, 2025 to Mar 12, 2026
- Custody of client assets · false to trueDec 9, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 1-10Dec 9, 2025 to Mar 12, 2026
- State-registered IARs · 2 to 1Dec 9, 2025 to Mar 12, 2026
- Discretionary RAUM · $117M to $136MDec 9, 2025 to Mar 12, 2026
- HNW RAUM · $57.5M to $66.6MDec 9, 2025 to Mar 12, 2026
- Individual RAUM · $60.8M to $72.6MDec 9, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $1.8M to $3.9MDec 9, 2025 to Mar 12, 2026
- RAUM · $119M to $140MDec 9, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 0Feb 26, 2025 to Jul 28, 2025
- Accounts · 545 to 518Aug 30, 2024 to Feb 26, 2025
- HNW clients · 25 to 31Aug 30, 2024 to Feb 26, 2025
- Individual clients · 298 to 274Aug 30, 2024 to Feb 26, 2025
- Financial planning clients · 1-10 to 0Aug 30, 2024 to Feb 26, 2025
- Discretionary RAUM · $106M to $117MAug 30, 2024 to Feb 26, 2025
- HNW RAUM · $44.3M to $57.5MAug 30, 2024 to Feb 26, 2025
- Individual RAUM · $65.3M to $60.8MAug 30, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $4.7M to $1.8MAug 30, 2024 to Feb 26, 2025
- RAUM · $110M to $119MAug 30, 2024 to Feb 26, 2025
- Accounts · 573 to 545Nov 20, 2023 to Feb 14, 2024
- HNW clients · 21 to 25Nov 20, 2023 to Feb 14, 2024
- Individual clients · 314 to 298Nov 20, 2023 to Feb 14, 2024
- Discretionary RAUM · $96.3M to $106MNov 20, 2023 to Feb 14, 2024
- HNW RAUM · $32.6M to $44.3MNov 20, 2023 to Feb 14, 2024
- Individual RAUM · $66.8M to $65.3MNov 20, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $3.8M to $4.7MNov 20, 2023 to Feb 14, 2024
- RAUM · $100M to $110MNov 20, 2023 to Feb 14, 2024
- Accounts · 668 to 573Mar 18, 2022 to Feb 27, 2023
- HNW clients · 27 to 21Mar 18, 2022 to Feb 27, 2023
- Individual clients · 279 to 314Mar 18, 2022 to Feb 27, 2023
- Employees · 5 to 4Mar 18, 2022 to Feb 27, 2023
- Financial planning clients · 11-25 to 1-10Mar 18, 2022 to Feb 27, 2023
- Discretionary RAUM · $112M to $96.3MMar 18, 2022 to Feb 27, 2023
- HNW RAUM · $45.1M to $32.6MMar 18, 2022 to Feb 27, 2023
- Individual RAUM · $69.7M to $66.8MMar 18, 2022 to Feb 27, 2023
Signals
1 dated events
- Braun Nicholas Scalzo (Equity Partner/Ceo) no longer on Schedule A of Claremont Financial Group,Inc. (listed 2021-04-07, absent 2021-06-03)Jun 3, 2021 · Control person left · inference
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 phone
- 714-546-2100reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 909-624-9200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 919-831-2370reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/claremont-financial-group-increportedpublic record, Form ADV, Sep 17, 2026
- Website
- CLAREMONTFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 909-624-9200reportedpublic record, Form ADV, Jul 21, 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
- $140Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026