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

Concert Wealth Management

Former SEC-registered adviserSan Jose, CaliforniaCRD 141253SEC 801-67992IAPD
Legal name Concert Wealth Management, Inc.
Latest filing Feb 12, 2018
First filing on the tape Nov 22, 2011 · 53 filings
RAUM
$201M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
76%
$152M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
17 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$201M as of Feb 12, 2018
Jan 3, 2012$1.2B then
HNW client RAUM: $71.2M
State-registered IARs (5.B.3)2 as of Feb 12, 2018
Jan 3, 20120 then
Employees (5.A)18 as of Feb 12, 2018
Jan 2, 201314 then
Private funds: 1
RAUM -90% over the last fiscal year-52% a year over threeIARs 7 to 2
Practice profile
derived from the filing of Feb 12, 2018; every figure names its basis
RAUM per advisor
$100MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
153derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$574,246derivedRAUM over accounts (5.F.2.f)
Discretionary
80%derivedof RAUM
Institutional
24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.0derivedItem 5.A over advisors
Advisors per office
0.4derived5 offices incl. principal (1.F.5)
RAUM growth, one year
-90%derivedbetween the last two annual amendments
Advisor growth, one year
-71%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$80.9M40%
  • High-net-worth individuals$71.2M35%
  • Pension and profit-sharing plans$48.3M24%
  • Charitable organizations$606,4150.3%
Individual clients
245reported
HNW clients
60reported
Pension plan clients
6reported
Charitable clients
2reported
Accounts
350reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Concert Structured Cd And Note Fund, LPOther Private Fund$00Jul 6, 2016
Owners and control persons
Schedule A and B, latest filing
  • Nmn Elizabeth Luna · Secretarycontrol
    since 05/2017 · owns 25% to 50%
  • Allen Erik Schei · Chief Compliance Officercontrol
    since 12/2016 · owns less than 5%
  • Nmn Elizabeth Luna · Trustee / Luna Family Trustcontrol
    since 02/2006 · owns 25% to 50% of Omni Global Group Ltd
  • Amor Felipe Luna · Trustee / Luna Family Trustcontrol
    since 02/2006 · owns 25% to 50% of Omni Global Group Ltd
Entity owners
  • Omni Global Group Ltd. · Parent Company
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list Concert Wealth Management as a related person
Offices
Schedule D 1.F, the 25 largest
  • Little Rock, AR2 employees
  • Walnut Creek, CA2 employees
  • Huntsville, AL1 employees
  • Seattle, WA1 employees
What changed
consecutive filings, newest first
  • Accounts · 4,537 to 350
    Feb 2, 2018 to Feb 12, 2018
  • Advisory employees · 72 to 17
    Feb 2, 2018 to Feb 12, 2018
  • Advisory activities · 6 to 4
    Feb 2, 2018 to Feb 12, 2018
  • BD registered reps · 5 to 2
    Feb 2, 2018 to Feb 12, 2018
  • Charity clients · unset to 2.0
    Feb 2, 2018 to Feb 12, 2018
  • Corporate clients · unset to 0.0
    Feb 2, 2018 to Feb 12, 2018
  • HNW clients · unset to 60.0
    Feb 2, 2018 to Feb 12, 2018
  • Individual clients · unset to 245.0
    Feb 2, 2018 to Feb 12, 2018
  • Pension plan clients · unset to 6.0
    Feb 2, 2018 to Feb 12, 2018
  • Pooled vehicle clients · unset to 0.0
    Feb 2, 2018 to Feb 12, 2018
  • Employees · 80 to 18
    Feb 2, 2018 to Feb 12, 2018
  • Insurance-licensed employees · 7 to 2
    Feb 2, 2018 to Feb 12, 2018
  • Financial planning clients · 51-100 to 26-50
    Feb 2, 2018 to Feb 12, 2018
  • State-registered IARs · 1 to 2
    Feb 2, 2018 to Feb 12, 2018
  • Discretionary RAUM · $1.1B to $161M
    Feb 2, 2018 to Feb 12, 2018
  • HNW RAUM · unset to 71163566.0
    Feb 2, 2018 to Feb 12, 2018
  • Individual RAUM · unset to 80947625.0
    Feb 2, 2018 to Feb 12, 2018
  • Non-discretionary RAUM · $52.3M to $40.0M
    Feb 2, 2018 to Feb 12, 2018
  • Pension RAUM · unset to 48268652.0
    Feb 2, 2018 to Feb 12, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Feb 2, 2018 to Feb 12, 2018
  • RAUM · $1.1B to $201M
    Feb 2, 2018 to Feb 12, 2018
  • Other offices · unset to 4.0
    May 4, 2017 to Nov 2, 2017
  • Advisory activities · 7 to 6
    Apr 21, 2017 to May 4, 2017
  • Private funds · 1 to unset
    Apr 21, 2017 to May 4, 2017
  • Related insurance company · true to false
    Apr 21, 2017 to May 4, 2017
  • Accounts · 5,537 to 4,537
    Jan 30, 2017 to Feb 17, 2017
  • Advisory employees · 85 to 72
    Jan 30, 2017 to Feb 17, 2017
  • BD registered reps · 10 to 5
    Jan 30, 2017 to Feb 17, 2017
  • Employees · 92 to 80
    Jan 30, 2017 to Feb 17, 2017
  • State-registered IARs · 7 to 1
    Jan 30, 2017 to Feb 17, 2017
  • Discretionary RAUM · $2.0B to $1.1B
    Jan 30, 2017 to Feb 17, 2017
  • RAUM · $2.0B to $1.1B
    Jan 30, 2017 to Feb 17, 2017
  • Accounts · 11,032 to 5,537
    Jul 28, 2016 to Dec 22, 2016
  • Advisory employees · 97 to 85
    Jul 28, 2016 to Dec 22, 2016
  • BD registered reps · 12 to 10
    Jul 28, 2016 to Dec 22, 2016
  • Employees · 117 to 92
    Jul 28, 2016 to Dec 22, 2016
  • Insurance-licensed employees · 1 to 7
    Jul 28, 2016 to Dec 22, 2016
  • State-registered IARs · 97 to 7
    Jul 28, 2016 to Dec 22, 2016
  • Discretionary RAUM · $1.9B to $2.0B
    Jul 28, 2016 to Dec 22, 2016
  • Non-discretionary RAUM · $66.9M to $52.3M
    Jul 28, 2016 to Dec 22, 2016
Signals
1 dated events
  • Concert Wealth Management reported RAUM $201.0M, down 82% from $1.1B (2018-02-02 to 2018-02-12)
    Feb 12, 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.
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