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.
Former SEC-registered adviser
Sorrento Pacific Financial, LLC
Latest filing Aug 8, 2025
First filing on the tape Mar 15, 2012 · 83 filings
SEC status approved since Jul 15, 2009
RAUM
$222M
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
98%
$217M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
248
29 advisory (5.B.1)
Offices
24
beyond the principal office
Private funds
0
reported on Schedule D
History
83 filings and snapshots on the tape
RAUM$222M as of Aug 8, 2025
Mar 15, 2012$19.9M then
HNW client RAUM$59.2M as of Aug 8, 2025
Mar 30, 2018$5.3M then
State-registered IARs (5.B.3)29 as of Aug 8, 2025
Mar 15, 20120 then
Employees (5.A)248 as of Aug 8, 2025
Mar 25, 2013141 then
Private funds: no history
RAUM +15% over the last fiscal year+6.3% a year over threeIARs 33 to 29offices 28 to 24
Practice profile
derived from the filing of Aug 8, 2025; every figure names its basis
- RAUM per advisor
- $7.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $240,616derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.6derivedItem 5.A over advisors
- Advisors per office
- 1.2derived25 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -12%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $163MreportedItem 5.I
- Custody
- $8.9M, 22 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$158M71%
- High-net-worth individuals$59.2M27%
- Corporations and businesses$4.7M2.1%
- Charitable organizations$182,0380.1%
- Individual clients
- 720reported
- HNW clients
- 33reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 924reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $8.9M for 22 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Christopher Leonard Mccain to Truist Advisory Services, Inc.Sep 4, 2025 · Affiliated broker-dealer or bank to another
- Robert Holcomb to Valic Financial Advisors, Inc.Aug 1, 2025 · Affiliated broker-dealer or bank to another
- Adam P Fernance to Cambridge Investment Research Advisors, Inc.Aug 1, 2025 · Affiliated broker-dealer or bank to another
- Edward Montagna to LPL Financial LLCMay 16, 2025 · Affiliated broker-dealer or bank to another
- Shannon Renee Irwin to LPL Financial LLCMay 15, 2025 · Affiliated broker-dealer or bank to another
- Wendi Kernels Drennon to LPL Financial LLCMay 15, 2025 · Affiliated broker-dealer or bank to another
- Michael Wayne Schwenker to LPL Financial LLCMay 15, 2025 · Affiliated broker-dealer or bank to another
- Andrey Letushko to LPL Financial LLCMay 15, 2025 · Affiliated broker-dealer or bank to another
- Teresa Marie Garrett to LPL Financial LLCMay 15, 2025 · Affiliated broker-dealer or bank to another
- Kimberly Marie Martin to LPL Financial LLCMay 15, 2025 · Affiliated broker-dealer or bank to another
- George H Elias to LPL Financial LLCMay 15, 2025 · Affiliated broker-dealer or bank to another
- James J Giordano to LPL Financial LLCMay 15, 2025 · Affiliated broker-dealer or bank to another
- Ethan J Triche to LPL Financial LLCMay 15, 2025 · Affiliated broker-dealer or bank to another
- Samuel Joshua Hardin to LPL Financial LLCMay 15, 2025 · Affiliated broker-dealer or bank to another
- Alexander Paul Chin to LPL Financial LLCMay 15, 2025 · Affiliated broker-dealer or bank to another
Joined, latest
- Patrick Owens from Independent Wealth Network, Inc.Mar 21, 2023 · RIA to affiliated broker-dealer or bank
- Caleb Brian Walter from Wells Fargo AdvisorsJul 20, 2021 · Wirehouse to affiliated broker-dealer or bank
- Shannon Renee Irwin from Creativeone Wealth, LLCDec 17, 2020 · RIA to affiliated broker-dealer or bank
- Steven Andrew Sanchez from Voya Financial Advisors, Inc.Oct 22, 2019 · Affiliated broker-dealer or bank to another
- John Francis Potter from MML Investors Services, LLCSep 16, 2019 · Affiliated broker-dealer or bank to another
- Daniel Rosado Mercado from First Allied Advisory Services, Inc.Jul 3, 2019 · Affiliated broker-dealer or bank to another
- Mario A Pometta from Edward JonesFeb 13, 2019 · Affiliated broker-dealer or bank to independent RIA
- Bruce Craig Mcculloch from John Hancock Investment Management LLCNov 16, 2018 · Other
- Anthony Martin Bonafede from Independent Financial Group, LLCAug 27, 2018 · Affiliated broker-dealer or bank to independent RIA
- David Vigil from Wells Fargo AdvisorsAug 3, 2018 · Wirehouse to independent RIA
- Robert Michael Mcallister from Securities America Advisors, Inc.Jun 5, 2018 · Affiliated broker-dealer or bank to independent RIA
- Matthew Roger Bassuk from First Allied Advisory Services, Inc.Apr 25, 2018 · Other
- Joe Neil Haywood from The Retirement Group, LLCFeb 1, 2018 · Other
- Sybil Lee Poage from Invest Financial CorporationDec 15, 2017 · Other
- Kathryn Leeper Hooper from Invest Financial CorporationDec 15, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 8 left for LPL Financial LLCMay 15, 2025 · San Diego, Ca
- 2 left for LPL Financial LLCMay 15, 2025 · Vacherie, La
- 2 left for LPL Financial LLCMay 15, 2025 · New Albany, Ms
- 2 left for LPL Financial LLCMay 15, 2025 · Ventnor, Nj
- 6 left for LPL Financial LLCNov 15, 2016 · Fremont, Ca
- 2 left for Ssn Advisory, Inc.Jan 9, 2015 · San Diego, Ca
- 2 joined from Invest Financial CorporationDec 15, 2017 · Des Moines, Ia
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kevin Lawrence Beard · Managercontrolsince 11/2017 · owns less than 5%
- Douglas John Ketterer · Managercontrolsince 11/2017 · owns less than 5%
- Kevin Scott Mummau · Presidentcontrolsince 03/2023 · owns less than 5%
- Theodore Robert Horwith · Chief Financial Officer, Finopsince 05/2021 · owns less than 5%
- Mary Kathryn Simonson · Chief Financial Officersince 07/2024 · owns less than 5%
- Laura Nicole White · Advisory Chief Compliance Officersince 11/2023 · owns less than 5%
Entity owners
- Aws 3, Inc. · Memberdirect · owns 75% or more
- Atria Wealth Solutions, Inc · Shareholderindirect · owns 75% or more of Aws 3, Inc
- LPL Financial Holdings, Inc. · Parent Companyindirect · owns 75% or more of LPL Holdings, Inc. · public reporting company
- LPL Holdings, Inc. · Shareholderindirect · owns 75% or more of Atria Wealth Solutions, Inc.
Related persons
Schedule D 7.A
- Cadaret Grant & Co Incbroker-dealerinvestment adviserreal estatenRAUM $7.7B
- Cfs Insurance And Technology Services, LLCreal estaten
- Cuso Financial Services, L.P.broker-dealerinvestment adviserreal estatenRAUM $5.4B
- Fiduciary Trust Company Of New Hampshiren
- Grove Point Advisors, LLCinvestment advisernRAUM $2.5B
- H. Beck, Inc.broker-dealerreal estatenRAUM $2.0B
- LPL Enterprise, LLCbroker-dealerinvestment adviserreal estatenRAUM $25B
- LPL Financial LLCbroker-dealerinvestment adviserreal estatenRAUM $819B
- LPL Insurance Associates, Inc.real estaten
- Next Financial Group, Inc.broker-dealerinvestment adviserreal estatenRAUM $3.8B
- Next Financial Insurance Services Companyreal estaten
- Scf Investment Advisors, Inc.investment advisernRAUM $1.3B
- Scf Securities, Inc.broker-dealerreal estaten
- The Private Trust Company, N.A.n
- Western International Securitiesbroker-dealerinvestment adviserreal estatenRAUM $3.5B
Advisers that list Sorrento Pacific Financial, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Anderson, Sc | 0 | 0 | 0 | ||
| Bay City, Mi | 0 | 0 | 0 | ||
| Brick, Nj | 0 | 0 | 0 | ||
| Cunningham, Tn | 0 | 0 | 0 | ||
| Delray Beach, Fl | 0 | 0 | 0 | ||
| El Segundo, Ca | 0 | 0 | 0 | ||
| Fremont, Ca | 0 | 0 | 0 | ||
| New Albany, Ms | 0 | 0 | 0 | ||
| Norwood, Ma | 0 | 0 | 0 | ||
| Santa Rosa, Ca | 0 | 0 | 0 | ||
| Urbandale, Ia | 0 | 0 | 0 | ||
| Vacherie, La | 0 | 0 | 0 | ||
| Ventnor, Nj | 0 | 0 | 0 | ||
| Ventura, Ca | 0 | 0 | 0 | ||
| West Burlington, Ia | 0 | 0 | 0 | ||
| San Diego, Ca · principal | 0 | 0 | 0 | ||
| Southington, Ct | 0 | 0 | 0 | ||
| Modesto, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Vacherie, LA2 employees
- Brick, NJ2 employees
- West Burlington, IA1 employees
- , 1 employees
- Ventura, CA1 employees
- Santa Rosa, CA1 employees
- San Rafeal, CA1 employees
- Dedham, MA1 employees
- Walpole, MA1 employees
- Dedham, MA1 employees
- Dedham, MA1 employees
- Needham, MA1 employees
- Norwood, MA1 employees
- Sharon, MA1 employees
- Westwood, MA1 employees
- South Boston, MA1 employees
- Fremont, CA1 employees
- Bay City, MI1 employees
- Des Moines, IA1 employees
- Urbanville, IA1 employees
- El Segundo, CA1 employees
- Mays Landing, NJ1 employees
- New Albany, MS1 employees
- , 1 employees
- Anderson, SC1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Mar 28, 2025 to May 27, 2025
- Accounts · 876 to 924Jan 3, 2025 to Mar 28, 2025
- Advisory employees · 33 to 29Jan 3, 2025 to Mar 28, 2025
- Advisory activities · 6 to 5Jan 3, 2025 to Mar 28, 2025
- BD registered reps · 129 to 133Jan 3, 2025 to Mar 28, 2025
- Corporate clients · 7 to 6Jan 3, 2025 to Mar 28, 2025
- HNW clients · 25 to 33Jan 3, 2025 to Mar 28, 2025
- Individual clients · 686 to 720Jan 3, 2025 to Mar 28, 2025
- Assets in custody · $3.5M to $8.9MJan 3, 2025 to Mar 28, 2025
- Employees · 256 to 248Jan 3, 2025 to Mar 28, 2025
- State-registered IARs · 33 to 29Jan 3, 2025 to Mar 28, 2025
- Other offices · 28 to 24Jan 3, 2025 to Mar 28, 2025
- Discretionary RAUM · $128M to $149MJan 3, 2025 to Mar 28, 2025
- HNW RAUM · $42.6M to $59.2MJan 3, 2025 to Mar 28, 2025
- Individual RAUM · $145M to $158MJan 3, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $64.5M to $73.3MJan 3, 2025 to Mar 28, 2025
- RAUM · $193M to $222MJan 3, 2025 to Mar 28, 2025
- Accounts · 800 to 876Nov 17, 2023 to Mar 28, 2024
- Advisory employees · 79 to 33Nov 17, 2023 to Mar 28, 2024
- Advisory activities · 4 to 6Nov 17, 2023 to Mar 28, 2024
- BD registered reps · 137 to 129Nov 17, 2023 to Mar 28, 2024
- Charity clients · 1 to 2Nov 17, 2023 to Mar 28, 2024
- HNW clients · 22 to 25Nov 17, 2023 to Mar 28, 2024
- Individual clients · 615 to 686Nov 17, 2023 to Mar 28, 2024
- Pension plan clients · 1 to 0Nov 17, 2023 to Mar 28, 2024
- Assets in custody · $2.6M to $3.5MNov 17, 2023 to Mar 28, 2024
- Employees · 198 to 256Nov 17, 2023 to Mar 28, 2024
- Insurance-licensed employees · 55 to 14Nov 17, 2023 to Mar 28, 2024
- State-registered IARs · 79 to 33Nov 17, 2023 to Mar 28, 2024
- Other offices · 31 to 28Nov 17, 2023 to Mar 28, 2024
- Discretionary RAUM · $112M to $128MNov 17, 2023 to Mar 28, 2024
- HNW RAUM · $51.8M to $42.6MNov 17, 2023 to Mar 28, 2024
- Individual RAUM · $116M to $145MNov 17, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $60.7M to $64.5MNov 17, 2023 to Mar 28, 2024
- Pension RAUM · $390,092 to $0Nov 17, 2023 to Mar 28, 2024
- RAUM · $173M to $193MNov 17, 2023 to Mar 28, 2024
- Employees · 76 to 198Jan 17, 2023 to Mar 31, 2023
- Insurance-licensed employees · 57 to 55Jan 17, 2023 to Mar 31, 2023
- State-registered IARs · 48 to 79Jan 17, 2023 to Mar 31, 2023
- Other offices · 75 to 31Jan 17, 2023 to Mar 31, 2023
Signals
55 dated events
- Sorrento Pacific Financial, Llc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $222.3M)Dec 20, 2025 · Left the SEC roster · derived
- Christopher Leonard Mccain left Sorrento Pacific Financial, Llc for Truist Advisory Services, Inc. (registered 2026-01-12)Sep 4, 2025 · Advisor changed firm · fact
- Adam P Fernance left Sorrento Pacific Financial, Llc for Cambridge Investment Research Advisors, Inc. (registered 2025-09-29)Aug 1, 2025 · Advisor changed firm · fact
- Robert Holcomb left Sorrento Pacific Financial, Llc for Valic Financial Advisors, Inc. (registered 2026-01-23)Aug 1, 2025 · Advisor changed firm · fact
- Edward Montagna left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 16, 2025 · Advisor changed firm · fact
- Shanel Sarah Dubique left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Ethan J Triche left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Michael Riley Alef left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Shannon Renee Irwin left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Alexander Paul Chin left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Wendi Kernels Drennon left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Michael Wayne Schwenker left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Travis Crenshaw left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-22)May 15, 2025 · Advisor changed firm · fact
- Kimberly Marie Martin left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Frank Boyd Smith left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Samuel Joshua Hardin left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Michael Anthony Pugliese left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Andrey Letushko left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Teresa Marie Garrett left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- George H Elias left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Joe Neil Haywood left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- Adam Louis Nieto left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- James J Giordano left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · Advisor changed firm · fact
- 8 advisors left Sorrento Pacific Financial, LLC (San Diego, CA) for LPL Financial LLC on the same dayMay 15, 2025 · Team lift-out · derived
- 2 advisors left Sorrento Pacific Financial, LLC (Vacherie, LA) for LPL Financial LLC on the same dayMay 15, 2025 · Team lift-out · derived
- 2 advisors left Sorrento Pacific Financial, LLC (New Albany, MS) for LPL Financial LLC on the same dayMay 15, 2025 · Team lift-out · derived
- 2 advisors left Sorrento Pacific Financial, LLC (Ventnor, NJ) for LPL Financial LLC on the same dayMay 15, 2025 · Team lift-out · derived
- Monaye C Nelson-Morgan left Sorrento Pacific Financial, Llc for Navy Federal Investment Services, Llc (registered 2025-06-09)Mar 11, 2025 · Advisor changed firm · fact
- Spencer T. Schneider left Sorrento Pacific Financial, Llc for Strategic Advisers Llc (registered 2025-05-19)Feb 25, 2025 · Advisor changed firm · fact
- Kathryn Leeper Hooper left Sorrento Pacific Financial, Llc for Osaic Institutions, Inc. (registered 2025-01-13)Jan 10, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026