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
Secura Financial
Legal name Secura Financial, LLC
Latest filing Jul 24, 2026
First filing on the tape Mar 30, 2018 · 22 filings
SEC status approved since Apr 25, 2018
RAUM
$320M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$317M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$29.1M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$320M as of Jul 24, 2026
Apr 2, 2019$107M then
HNW client RAUM$257M as of Jul 24, 2026
Apr 2, 2019$74.8M then
State-registered IARs (5.B.3)9 as of Jul 24, 2026
Apr 2, 20199 then
Employees (5.A)9 as of Jul 24, 2026
Apr 2, 201910 then
Private funds: no history
RAUM +39% over the last fiscal year+13% a year over threeIARs 10 to 9
Practice profile
derived from the filing of Jul 24, 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
- RAUM per advisor
- $29.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $599,736derivedHNW RAUM over HNW clients
- Average account
- $257,589derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$257M80%
- Individuals$60.8M19%
- Pension and profit-sharing plans$2.4M0.7%
- Charitable organizations$95,0000.0%
- Individual clients
- 245reported
- HNW clients
- 428reported
- Pension plan clients
- 7reported
- Charitable clients
- 1reported
- Accounts
- 1,242reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=7.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Harry Michael BarthCertified Financial Planner, Chartered Financial Consultant | Orange, Ca | Nov 28, 2006 | 40 y | 2 |
| Kraig Noel StromCertified Financial Planner, Chartered Financial Consultant | Orange, Ca | May 30, 2017 | 24 y | 4 |
| Richard W JackmanCertified Financial Planner | Orange, Ca | Jan 1, 2025 | 32 y | 3 |
| Jason Douglas StoneCertified Financial Planner | Orange, Ca | Jan 1, 2025 | 18 y | 4 |
| Faramarz Amiri | Orange, Ca | Oct 30, 2025 | 14 y | 0 |
| Saul Abiel Palencia | Orange, Ca | Nov 25, 2025 | 10 y | 0 |
| Brent Lee Honea | Orange, Ca | Jan 1, 2026 | 33 y | 4 |
| Greggory Jackman | Orange, Ca | Jul 22, 2026 | 12 y | 4 |
| Casey Lee HatcherCertified Financial Planner | Orange, Ca | Jul 22, 2026 | 18 y | 3 |
| Richard Kikuchi | Brea, Ca | Jul 23, 2026 | 36 y | 0 |
| Michael Bruce Bader | Orange, Ca | Aug 25, 2026 | 41 y | 1 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 9.1% of current headcount3 left over 36 months
Left, latest
- Dhillon Thomas Taylor to Legacy Wealth Management, LLCJul 24, 2026 · RIA to RIA
- Leigh Greenberg to LPL Enterprise, LLCApr 30, 2025 · RIA to a newly registered adviser
- William Thomas Black to LPL Financial LLCMar 21, 2024 · Other
- Greggory Jackman to J.P. Morgan Securities LLCOct 28, 2022 · RIA to wirehouse
- Matthew Joseph Evans to Raymond James Financial Services Advisors, IncDec 18, 2019 · Other
- Anne Tahim to Voya Financial Advisors, Inc.Jul 21, 2009 · Other
Joined, latest
- Casey Lee Hatcher from Stone Hatcher FinancialJul 22, 2026 · Other
- Greggory Jackman from Arkadios Wealth AdvisorsJul 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- Brent Lee Honea from J. W. Cole Advisors, Inc.Jan 1, 2026 · Other
- Richard W Jackman from Crown Capital Securities, L.P.Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Jason Douglas Stone from Stone Hatcher FinancialJan 1, 2025 · Other
- Dhillon Thomas Taylor from Crown Capital Securities, L.P.Jan 17, 2020 · Affiliated broker-dealer or bank to independent RIA
- Kraig Noel Strom from Oneamerica Securities, Inc.May 30, 2017 · Other
- Matthew Joseph Evans from Crown Capital Securities, L.P.Apr 6, 2016 · Other
- William Thomas Black from Nfp Advisor Services, LLCApr 30, 2010 · Other
- Anne Tahim from LPL Financial LLCMay 28, 2008 · Other
- Harry Michael Barth from LPL Financial LLCNov 28, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Stone Hatcher FinancialJun 19, 2019 · Anaheim, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Harry Barth · Member/Chief Compliance Officercontrolsince 11/1997 · owns 25% to 50%
- W Richard Jackman · Member/Chief Investment Officercontrolsince 11/2019 · owns 25% to 50%
- Douglas Jason Stone · Managing Director/Membercontrolsince 11/2019 · owns 25% to 50%
- Lee Casey Hatcher · Membersince 11/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
- Harry Barthinvestment companyn
- Harry Barthreal estaten
- Harry Barthbroker-dealern
- Harry M. Barthy
- Kraig Stromreal estaten
- Kraig Strombroker-dealern
- Richard Jackmanbroker-dealerinvestment advisern
- Richard Jackmanreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Orange, Ca · principal | 11 | 7 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 8 to 9May 5, 2026 to Jul 24, 2026
- BD registered reps · 6 to 7May 5, 2026 to Jul 24, 2026
- Employees · 8 to 9May 5, 2026 to Jul 24, 2026
- State-registered IARs · 8 to 9May 5, 2026 to Jul 24, 2026
- Accounts · 1,141 to 1,242Oct 23, 2025 to May 5, 2026
- Advisory employees · 9 to 8Oct 23, 2025 to May 5, 2026
- Charity clients · 2 to 1Oct 23, 2025 to May 5, 2026
- HNW clients · 476 to 428Oct 23, 2025 to May 5, 2026
- Individual clients · 492 to 245Oct 23, 2025 to May 5, 2026
- Pension plan clients · 16 to 7Oct 23, 2025 to May 5, 2026
- Employees · 9 to 8Oct 23, 2025 to May 5, 2026
- Financial planning clients · 26-50 to 51-100Oct 23, 2025 to May 5, 2026
- State-registered IARs · 9 to 8Oct 23, 2025 to May 5, 2026
- Discretionary RAUM · $262M to $320MOct 23, 2025 to May 5, 2026
- HNW RAUM · $203M to $257MOct 23, 2025 to May 5, 2026
- Individual RAUM · $53.0M to $60.8MOct 23, 2025 to May 5, 2026
- Pension RAUM · $5.1M to $2.4MOct 23, 2025 to May 5, 2026
- RAUM · $262M to $320MOct 23, 2025 to May 5, 2026
- Wrap assets (manager) · 0.0 to unsetOct 23, 2025 to May 5, 2026
- Wrap assets (sponsor) · 0.0 to unsetOct 23, 2025 to May 5, 2026
- Accounts · 1,123 to 1,141Mar 21, 2024 to Apr 30, 2025
- Advisory employees · 10 to 9Mar 21, 2024 to Apr 30, 2025
- BD registered reps · 7 to 6Mar 21, 2024 to Apr 30, 2025
- HNW clients · 414 to 476Mar 21, 2024 to Apr 30, 2025
- Individual clients · 482 to 492Mar 21, 2024 to Apr 30, 2025
- Employees · 10 to 9Mar 21, 2024 to Apr 30, 2025
- Financial planning clients · 11-25 to 26-50Mar 21, 2024 to Apr 30, 2025
- State-registered IARs · 10 to 9Mar 21, 2024 to Apr 30, 2025
- Discretionary RAUM · $230M to $262MMar 21, 2024 to Apr 30, 2025
- HNW RAUM · $178M to $203MMar 21, 2024 to Apr 30, 2025
- Individual RAUM · $47.7M to $53.0MMar 21, 2024 to Apr 30, 2025
- Pension RAUM · $4.4M to $5.1MMar 21, 2024 to Apr 30, 2025
- RAUM · $230M to $262MMar 21, 2024 to Apr 30, 2025
- Accounts · 1,007 to 1,123Mar 13, 2023 to Mar 21, 2024
- BD registered reps · 9 to 7Mar 13, 2023 to Mar 21, 2024
- HNW clients · 280 to 414Mar 13, 2023 to Mar 21, 2024
- Individual clients · 315 to 482Mar 13, 2023 to Mar 21, 2024
- Pension plan clients · 15 to 16Mar 13, 2023 to Mar 21, 2024
- Insurance-licensed employees · 5 to 0Mar 13, 2023 to Mar 21, 2024
- Financial planning clients · 26-50 to 11-25Mar 13, 2023 to Mar 21, 2024
Signals
7 dated events
- Dhillon Thomas Taylor left Secura Financial for Legacy Wealth Management, Llc (registered 2026-07-23)Jul 24, 2026 · Advisor changed firm · fact
- Leigh Greenberg left Secura Financial for Lpl Enterprise, Llc (registered 2025-01-23)Apr 30, 2025 · Advisor changed firm · fact
- William Thomas Black left Secura Financial for Lpl Financial Llc (registered 2010-07-02)Mar 21, 2024 · Advisor changed firm · fact
- Greggory Jackman left Secura Financial for J.P. Morgan Securities Llc (registered 2022-07-21)Oct 28, 2022 · Advisor changed firm · fact
- W Richard Jackman (Member/Chief Investment Officer) appeared on Schedule A of Secura FinancialDec 13, 2019 · Control person joined · fact
- Douglas Jason Stone (Managing Director/Member) appeared on Schedule A of Secura FinancialDec 13, 2019 · Control person joined · fact
- Barth Financial Advisors, Llc filed its initial SEC registration (Form ADV)Mar 30, 2018 · 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 email
- info@securawm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- richard@securawm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 714-704-1513reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 714-704-6616reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- securawm.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 714-704-6616reportedpublic record, Form ADV, Jul 24, 2026
- Contact form
- securawm.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- securawm.com/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
- $29.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026