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
Providence Financial And Insurances, Inc.
Legal name Providence Financial And Insurance Services, Inc
Latest filing May 4, 2026
First filing on the tape Jun 16, 2021 · 10 filings
SEC status approved since Jul 16, 2021
RAUM
$215M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$215M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$35.8M
derived; firm RAUM over IAPD count
Employees
16
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$215M as of May 4, 2026
Mar 4, 2022$119M then
HNW client RAUM$63.9M as of May 4, 2026
Mar 4, 2022$33.3M then
State-registered IARs (5.B.3)6 as of May 4, 2026
Mar 4, 20222 then
Employees (5.A)16 as of May 4, 2026
Mar 4, 20222 then
Private funds: no history
RAUM +13% over the last fiscal year+18% a year over threeIARs 4 to 6offices 1 to 2
Practice profile
derived from the filing of May 4, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $35.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $141,090derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.2%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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
- 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)
- 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
- Individuals$151M70%
- High-net-worth individuals$63.9M30%
- Individual clients
- 582reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,524reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Anthony Alan SaccaroChartered Financial Consultant | Woodland Hills, Ca | Nov 9, 2011 | 20 y | 1 |
| Lorraine Ann Grossman | Woodland Hills, Ca | Mar 2, 2017 | 19 y | 0 |
| Zachary David Gunderson | Woodland Hills, Ca | Nov 16, 2023 | 14 y | 1 |
| Thuan Khai Lam | Woodland Hills, Ca | May 1, 2025 | 20 y | 1 |
| Jake Isaac Sarnoff | Woodland Hills, Ca | Aug 1, 2025 | 14 y | 1 |
| Eric K Dizon | Woodland Hills, Ca | Jun 30, 2026 | 32 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Alexander Paul Tuckman to Wealth Management Partners Of Los AngelesDec 13, 2019 · RIA to a state-registered adviser
Joined, latest
- Eric K Dizon from Edward JonesJun 30, 2026 · Affiliated broker-dealer or bank to independent RIA
- Jake Isaac Sarnoff from Esi Financial AdvisorsAug 1, 2025 · RIA to RIA
- Thuan Khai Lam from Osaic Fs, Inc.May 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Zachary David Gunderson from LPL Financial LLCNov 16, 2023 · RIA to RIA
- Anthony Alan Saccaro from Voya Financial Advisors, Inc.Nov 9, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan Anthony Saccaro · President, Ccocontrolsince 07/1999 · owns 75% or more
Related persons
Schedule D 7.A
- Anthony Saccaroy
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Woodland Hills, Ca · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Valencia, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,362 to 1,524Mar 31, 2025 to Mar 26, 2026
- Advisory employees · 4 to 6Mar 31, 2025 to Mar 26, 2026
- HNW clients · 38 to 42Mar 31, 2025 to Mar 26, 2026
- Individual clients · 587 to 582Mar 31, 2025 to Mar 26, 2026
- Employees · 17 to 16Mar 31, 2025 to Mar 26, 2026
- State-registered IARs · 4 to 6Mar 31, 2025 to Mar 26, 2026
- Other offices · 1 to 2Mar 31, 2025 to Mar 26, 2026
- Discretionary RAUM · $190M to $215MMar 31, 2025 to Mar 26, 2026
- HNW RAUM · $54.6M to $63.9MMar 31, 2025 to Mar 26, 2026
- Individual RAUM · $135M to $151MMar 31, 2025 to Mar 26, 2026
- RAUM · $190M to $215MMar 31, 2025 to Mar 26, 2026
- Accounts · 1,232 to 1,362Mar 15, 2024 to Mar 31, 2025
- Advisory employees · 5 to 4Mar 15, 2024 to Mar 31, 2025
- HNW clients · 35 to 38Mar 15, 2024 to Mar 31, 2025
- Individual clients · 520 to 587Mar 15, 2024 to Mar 31, 2025
- Employees · 14 to 17Mar 15, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 15, 2024 to Mar 31, 2025
- State-registered IARs · 5 to 4Mar 15, 2024 to Mar 31, 2025
- Discretionary RAUM · $153M to $190MMar 15, 2024 to Mar 31, 2025
- HNW RAUM · $37.3M to $54.6MMar 15, 2024 to Mar 31, 2025
- Individual RAUM · $116M to $135MMar 15, 2024 to Mar 31, 2025
- RAUM · $153M to $190MMar 15, 2024 to Mar 31, 2025
- Accounts · 1,256 to 1,232Oct 3, 2023 to Mar 15, 2024
- Advisory employees · 3 to 5Oct 3, 2023 to Mar 15, 2024
- HNW clients · 40 to 35Oct 3, 2023 to Mar 15, 2024
- Individual clients · 653 to 520Oct 3, 2023 to Mar 15, 2024
- Employees · 8 to 14Oct 3, 2023 to Mar 15, 2024
- Financial planning clients · 1-10 to 0Oct 3, 2023 to Mar 15, 2024
- State-registered IARs · 3 to 5Oct 3, 2023 to Mar 15, 2024
- Other offices · 0 to 1Oct 3, 2023 to Mar 15, 2024
- Discretionary RAUM · $131M to $153MOct 3, 2023 to Mar 15, 2024
- HNW RAUM · $32.5M to $37.3MOct 3, 2023 to Mar 15, 2024
- Individual RAUM · $98.6M to $116MOct 3, 2023 to Mar 15, 2024
- RAUM · $131M to $153MOct 3, 2023 to Mar 15, 2024
- Advisory activities · 5 to 6Feb 10, 2023 to Oct 3, 2023
- Accounts · 1,137 to 1,256Oct 14, 2022 to Feb 10, 2023
- HNW clients · 30 to 40Oct 14, 2022 to Feb 10, 2023
- Individual clients · 1,107 to 653Oct 14, 2022 to Feb 10, 2023
- Discretionary RAUM · $119M to $131MOct 14, 2022 to Feb 10, 2023
- HNW RAUM · $33.3M to $32.5MOct 14, 2022 to Feb 10, 2023
Signals
1 dated events
- Providence Financial And Insurances, Inc. filed its initial SEC registration (Form ADV)Jun 16, 2021 · 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
- 818-887-6443reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- providencefinancialradio.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 818-887-6443reportedpublic record, Form ADV, May 4, 2026
- Contact form
- providencefinancialradio.com/contactreportedpublished 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
- $35.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026