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
Monarch Wealth Strategies
Latest filing Mar 25, 2026
First filing on the tape Apr 21, 2020 · 18 filings
SEC status approved since May 22, 2020
RAUM
$463M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$439M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$57.9M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$463M as of Mar 25, 2026
Feb 22, 2021$249M then
HNW client RAUM$331M as of Mar 25, 2026
Feb 22, 2021$203M then
State-registered IARs (5.B.3)7 as of Mar 25, 2026
Feb 22, 20213 then
Employees (5.A)7 as of Mar 25, 2026
Feb 22, 20217 then
Private funds: no history
RAUM +6.6% over the last fiscal year+15% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Mar 25, 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
- $57.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $484,808derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $58.4M, 69 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$331M71%
- Individuals$107M23%
- Charitable organizations$14.8M3.2%
- Pension and profit-sharing plans$10.1M2.2%
- Corporations and businesses$69,3790.0%
- Individual clients
- 229reported
- HNW clients
- 161reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 956reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $58.4M for 69 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brian Thomas Johnson | Santa Barbara, Ca | Nov 27, 2018 | 17 y | 1 |
| Aaron Jeffrey ClarkCertified Financial Planner | Los Angeles, Ca | Nov 27, 2018 | 22 y | 3 |
| Irene Therese Timmons | Santa Maria, Ca | Oct 13, 2020 | 20 y | 1 |
| Grant S Colin | Los Angeles, Ca | Sep 18, 2023 | 12 y | 1 |
| Nga Yu Ho | Los Angeles, Ca | Mar 12, 2024 | 23 y | 1 |
| Nicole Renee Allen | Santa Barbara, Ca | Jan 1, 2025 | 13 y | 0 |
| Lucas Ray Poteet | Santa Barbara, Ca | Jul 3, 2025 | 11 y | 0 |
| Fatemeh Ashouri | Los Angeles, Ca | Apr 27, 2026 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount2 left over 36 months
Left, latest
- Michael A Partlow to Navalign, LLCDec 23, 2025 · RIA to RIA
- Taranvir S. Pannu to Bulman Wealth GroupDec 20, 2024 · RIA to RIA
- Kimberly Sara Malesky to Creativeone Wealth, LLCDec 2, 2020 · RIA to RIA
Joined, latest
- Nga Yu Ho from Pdv Financial ManagementMar 12, 2024 · Other
- Grant S Colin from SeiaSep 18, 2023 · Affiliated broker-dealer or bank to independent RIA
- Irene Therese Timmons from LPL Financial LLCOct 13, 2020 · Affiliated broker-dealer or bank to independent RIA
- Aaron Jeffrey Clark from LPL Financial LLCNov 27, 2018 · Affiliated broker-dealer or bank to independent RIA
- Brian Thomas Johnson from LPL Financial LLCNov 27, 2018 · Affiliated broker-dealer or bank to independent RIA
- Kimberly Sara Malesky from LPL Financial LLCNov 27, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from LPL Financial LLCOct 6, 2020 · Santa Maria, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Renee Nicole Allen · Ccocontrolsince 08/2024 · owns less than 5%
- Jeffrey Aaron Clark · Presidentcontrolsince 09/2008 · owns less than 5%
- Jeffrey Aaron Clark · Trusteecontrolsince 09/2018 · owns 75% or more of The Ouroboros Revocable Trust
Entity owners
- The Ouroboros Revocable Trust · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca | 4 | 1 | 1 | ||
| Santa Barbara, Ca · principal | 3 | 0 | 0 | ||
| Santa Maria, Ca | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Pasadena, CA1 employees
- Santa Maria, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 976 to 956Mar 28, 2025 to Mar 25, 2026
- Advisory employees · 8 to 7Mar 28, 2025 to Mar 25, 2026
- HNW clients · 171 to 161Mar 28, 2025 to Mar 25, 2026
- Individual clients · 245 to 229Mar 28, 2025 to Mar 25, 2026
- Assets in custody · $23.5M to $58.4MMar 28, 2025 to Mar 25, 2026
- Employees · 8 to 7Mar 28, 2025 to Mar 25, 2026
- Financial planning clients · 101-250 to 251-500Mar 28, 2025 to Mar 25, 2026
- State-registered IARs · 8 to 7Mar 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $435M to $463MMar 28, 2025 to Mar 25, 2026
- HNW RAUM · $316M to $331MMar 28, 2025 to Mar 25, 2026
- Individual RAUM · $97.7M to $107MMar 28, 2025 to Mar 25, 2026
- Pension RAUM · $8.3M to $10.1MMar 28, 2025 to Mar 25, 2026
- RAUM · $435M to $463MMar 28, 2025 to Mar 25, 2026
- Accounts · 925 to 976Oct 18, 2024 to Mar 28, 2025
- Advisory employees · 6 to 8Oct 18, 2024 to Mar 28, 2025
- Corporate clients · 2 to 1Oct 18, 2024 to Mar 28, 2025
- HNW clients · 163 to 171Oct 18, 2024 to Mar 28, 2025
- Individual clients · 230 to 245Oct 18, 2024 to Mar 28, 2025
- Pension plan clients · 4 to 3Oct 18, 2024 to Mar 28, 2025
- Assets in custody · $28.4M to $23.5MOct 18, 2024 to Mar 28, 2025
- Employees · 7 to 8Oct 18, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 101-250Oct 18, 2024 to Mar 28, 2025
- State-registered IARs · 7 to 8Oct 18, 2024 to Mar 28, 2025
- Discretionary RAUM · $337M to $435MOct 18, 2024 to Mar 28, 2025
- HNW RAUM · $253M to $316MOct 18, 2024 to Mar 28, 2025
- Individual RAUM · $70.6M to $97.7MOct 18, 2024 to Mar 28, 2025
- Pension RAUM · $9.0M to $8.3MOct 18, 2024 to Mar 28, 2025
- RAUM · $337M to $435MOct 18, 2024 to Mar 28, 2025
- Accounts · 918 to 925Mar 17, 2023 to Mar 22, 2024
- Advisory employees · 5 to 6Mar 17, 2023 to Mar 22, 2024
- Charity clients · 3 to 2Mar 17, 2023 to Mar 22, 2024
- Corporate clients · 3 to 2Mar 17, 2023 to Mar 22, 2024
- HNW clients · 179 to 163Mar 17, 2023 to Mar 22, 2024
- Individual clients · 224 to 230Mar 17, 2023 to Mar 22, 2024
- Employees · 5 to 7Mar 17, 2023 to Mar 22, 2024
- Financial planning clients · 1-10 to 0Mar 17, 2023 to Mar 22, 2024
- State-registered IARs · 5 to 7Mar 17, 2023 to Mar 22, 2024
- Discretionary RAUM · $308M to $337MMar 17, 2023 to Mar 22, 2024
- HNW RAUM · $240M to $253MMar 17, 2023 to Mar 22, 2024
- Individual RAUM · $56.8M to $70.6MMar 17, 2023 to Mar 22, 2024
Signals
5 dated events
- Michael A Partlow left Monarch Wealth Strategies for Navalign, Llc (registered 2026-01-05)Dec 23, 2025 · Advisor changed firm · fact
- Taranvir S. Pannu left Monarch Wealth Strategies for Bulman Wealth Group (registered 2025-01-07)Dec 20, 2024 · Advisor changed firm · fact
- Renee Nicole Allen (Cco) appeared on Schedule A of Monarch Wealth StrategiesOct 18, 2024 · Control person joined · fact
- Sara Kimberly Malesky (Co-Owner) no longer on Schedule A of Monarch Wealth Strategies (listed 2020-08-20, absent 2021-02-22)Feb 22, 2021 · Control person left · inference
- Monarch Wealth Strategies filed its initial SEC registration (Form ADV)Apr 21, 2020 · First SEC registration · fact
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
- 310-202-9170reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-559-0898reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 805-564-0800reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/monarch-wealth-strategiesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- mwsus.com.reportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (805) 564-0800reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- mwsus.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- mwsus.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $57.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026