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
Signature Resources Capital Management, LLC
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 35 filings
SEC status approved since Jun 8, 2007
RAUM
$304M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$287M individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$19.0M
derived; firm RAUM over IAPD count
Employees
15
15 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$304M as of Mar 27, 2026
Mar 29, 2012$92.7M then
HNW client RAUM$205M as of Mar 27, 2026
Mar 29, 2018$39.9M then
State-registered IARs (5.B.3)15 as of Mar 27, 2026
Mar 27, 201325 then
Employees (5.A)15 as of Mar 27, 2026
Mar 27, 201327 then
Private funds: no history
RAUM +34% over the last fiscal year+14% a year over threeIARs 9 to 15offices 1 to 4
Practice profile
derived from the filing of Mar 27, 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
- $19.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $341,097derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 3.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%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
- Custody
- $60.5M, 144 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$205M67%
- Individuals$82.1M27%
- Pension and profit-sharing plans$14.5M4.8%
- Corporations and businesses$2.7M0.9%
- Individual clients
- 276reported
- HNW clients
- 90reported
- Pension plan clients
- 12reported
- Charitable clients
- 0reported
- Accounts
- 891reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $60.5M for 144 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kevin Andrew Messenger | Newport Beach, Ca | Jan 20, 2011 | 15 y | 0 |
| Aleksandar Glebov | Newport Beach, Ca | Apr 14, 2011 | 25 y | 2 |
| Michelle N. Mai | San Diego, Ca | Oct 18, 2016 | 21 y | 1 |
| Mark Alan MowreyChartered Financial Analyst | Newport Beach, Ca | Nov 26, 2016 | 10 y | 0 |
| Michael Adam Bornstein | Newport Beach, Ca | May 24, 2019 | 13 y | 2 |
| Russtin Siadatian | Los Angeles, Ca | Dec 11, 2020 | 10 y | 0 |
| Andrew Steven Ficarra | Newport Beach, Ca | Feb 28, 2022 | 14 y | 3 |
| Anthony Christopher Rossi | Newport Beach, Ca | Dec 13, 2022 | 16 y | 5 |
| Brian Joseph HendersonChartered Financial Analyst | Oakton, Va | Jun 20, 2025 | 18 y | 0 |
| Simon Robert GoldinCertified Financial Planner | San Diego, Ca | Nov 10, 2025 | 10 y | 1 |
| Richard W Tso | Newport Beach, Ca | Nov 12, 2025 | 12 y | 1 |
| Alexander Aarian Lashkari | Newport Beach, Ca | Nov 12, 2025 | 10 y | 1 |
| Joshua Lee MatyasCertified Financial Planner | San Diego, Ca | Dec 9, 2025 | 12 y | 1 |
| Serena Elizabeth Nguyen | Newport Beach, Ca | Jan 27, 2026 | 11 y | 0 |
| Samuel David Lee | Newport Beach, Ca | Mar 25, 2026 | 11 y | 0 |
| Lesley Giselle Batson | Orlando, Fl | Sep 11, 2026 | 11 y | 0 |
Advisor movement
0 left, 4 joined in 12 months
net +4 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount4 left over 36 months
Left, latest
- Glenn Tyran Crawford to MML Investors Services, LLCJul 3, 2025 · RIA to affiliated broker-dealer or bank
- Christina Elizabeth Lawrence to Vector Financial Solutions, Inc.Nov 21, 2024 · RIA to a state-registered adviser
- Jon Nicholas Mclaughlin to SavvyJul 9, 2024 · RIA to RIA
- Jeremy Graham Edge to MML Investors Services, LLCNov 29, 2023 · RIA to affiliated broker-dealer or bank
- Michael P Lacey to MML Investors Services, LLCDec 8, 2022 · RIA to affiliated broker-dealer or bank
- Daniel Cucuiat to Guardian Financial Partners, LLCMay 17, 2021 · RIA to RIA
- Doak Rauh Belt to NamcoaApr 12, 2021 · RIA to RIA
- Lisa Miyako Sakai to Integrated Wealth Concepts LLCJan 29, 2021 · RIA to RIA
- Christopher Michael Whalen to Integrated Wealth Concepts LLCJan 29, 2021 · RIA to RIA
- Brett Michael Laddusaw to Oneamerica Securities, Inc.May 6, 2020 · RIA to affiliated broker-dealer or bank
- Morgan Robert Christen to Spinnaker Investment Group, LLCMar 29, 2018 · Other
- Andrew Lawrence Krongold to Spinnaker Investment Group, LLCMar 29, 2018 · Other
- Anthony Michael Puma to Spinnaker Investment Group, LLCMar 13, 2017 · Other
- Joseph Daniel Silla to Park Avenue Securities LLCMar 13, 2017 · Other
- Joseph Muir Stapleton to Spinnaker Investment Group, LLCSep 13, 2016 · Other
Joined, latest
- Joshua Lee Matyas from Blankinship & Foster, LLCDec 9, 2025 · RIA to RIA
- Alexander Aarian Lashkari from MML Investors Services, LLCNov 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- Richard W Tso from MML Investors Services, LLCNov 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- Simon Robert Goldin from MML Investors Services, LLCNov 10, 2025 · Affiliated broker-dealer or bank to independent RIA
- Anthony Christopher Rossi from Ae Wealth Management, LLCDec 13, 2022 · RIA to RIA
- Christina Elizabeth Lawrence from MML Investors Services, LLCJun 27, 2022 · Affiliated broker-dealer or bank to independent RIA
- Jeremy Graham Edge from MML Investors Services, LLCDec 23, 2021 · Affiliated broker-dealer or bank to independent RIA
- Jon Nicholas Mclaughlin from First Western Capital Management CompanyAug 26, 2019 · RIA to RIA
- Michael P Lacey from Park Avenue Securities LLCAug 21, 2019 · Affiliated broker-dealer or bank to independent RIA
- Michael Adam Bornstein from Park Avenue Securities LLCMay 24, 2019 · Affiliated broker-dealer or bank to independent RIA
- Michelle N. Mai from Matrix Private Wealth Solutions, Corp.Oct 18, 2016 · Other
- Daniel Cucuiat from S.H. Capital Management Corp.Jun 16, 2016 · Other
- Brett Michael Laddusaw from Edward JonesJun 26, 2014 · Other
- Michael Francis Alongi from Equitable Advisors, LLCApr 15, 2014 · Other
- Daniel James Dubois from Msi Financial Services, Inc.Oct 11, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Spinnaker Investment Group, LLCMar 29, 2018 · Newport Beach, Ca
- 2 left for Wealth Teams AllianceOct 6, 2015 · Newport Beach, Ca
- 3 joined from MML Investors Services, LLCNov 4, 2025 · Costa Mesa, Ca
- 2 joined from Signator Investors, Inc.Nov 2, 2018 · Irvine, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Beverly Kaltenbach · Managing Membercontrolsince 02/2020 · owns 25% to 50%
- Linn Gregory Kaltenbach · Managing Membercontrolsince 05/2007 · owns 25% to 50%
- Alan Mark Mowrey · Chief Investment Officer (8/2016), Cco (3/2020)controlsince 08/2016 · owns 25% to 50%
Related persons
Schedule D 7.A
- Diba Insurance Services, LLCreal estaten
- Signature Resources, Insurance And Financial Services, Inc.real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 16 | 7 | 0 | ||
| San Diego, Ca | 3 | 2 | 0 | ||
| Pasadena, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- El Segundo, CA1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Mar 27, 2026advisory representatives (Item 5.B.3) moved from 9.0 to 15.0 (+67.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was 0.0% (965 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 99% percentile
- employee count surgeChange between filings · filing Mar 27, 2026employees (Item 5.A) moved from 10.0 to 15.0 (+50.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was 0.0% (507 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 98% percentile
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 27.0% to 67.0% between the annual amendments of 2025-03-28 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 807 to 891Feb 9, 2026 to Mar 27, 2026
- Advisory employees · 14 to 15Feb 9, 2026 to Mar 27, 2026
- HNW clients · 27 to 90Feb 9, 2026 to Mar 27, 2026
- Individual clients · 316 to 276Feb 9, 2026 to Mar 27, 2026
- Pension plan clients · 14 to 12Feb 9, 2026 to Mar 27, 2026
- Assets in custody · $45.3M to $60.5MFeb 9, 2026 to Mar 27, 2026
- State-registered IARs · 14 to 15Feb 9, 2026 to Mar 27, 2026
- Discretionary RAUM · $228M to $304MFeb 9, 2026 to Mar 27, 2026
- HNW RAUM · $61.3M to $205MFeb 9, 2026 to Mar 27, 2026
- Individual RAUM · $144M to $82.1MFeb 9, 2026 to Mar 27, 2026
- Pension RAUM · $12.9M to $14.5MFeb 9, 2026 to Mar 27, 2026
- RAUM · $228M to $304MFeb 9, 2026 to Mar 27, 2026
- Advisory employees · 10 to 14Jun 20, 2025 to Feb 9, 2026
- Employees · 11 to 15Jun 20, 2025 to Feb 9, 2026
- State-registered IARs · 10 to 14Jun 20, 2025 to Feb 9, 2026
- Other offices · 2 to 4Jun 20, 2025 to Feb 9, 2026
- Advisory employees · 9 to 10Mar 28, 2025 to Jun 20, 2025
- Employees · 10 to 11Mar 28, 2025 to Jun 20, 2025
- Financial planning clients · 1-10 to 1-10Mar 28, 2025 to Jun 20, 2025
- State-registered IARs · 9 to 10Mar 28, 2025 to Jun 20, 2025
- Other offices · 1 to 2Mar 28, 2025 to Jun 20, 2025
- Accounts · 1,174 to 807Nov 26, 2024 to Mar 28, 2025
- Charity clients · unset to 0.0Nov 26, 2024 to Mar 28, 2025
- Corporate clients · 6.0 to unsetNov 26, 2024 to Mar 28, 2025
- HNW clients · 26 to 27Nov 26, 2024 to Mar 28, 2025
- Individual clients · 440 to 316Nov 26, 2024 to Mar 28, 2025
- Pooled vehicle clients · unset to 0.0Nov 26, 2024 to Mar 28, 2025
- Assets in custody · $38.5M to $45.3MNov 26, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 1-10Nov 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $219M to $228MNov 26, 2024 to Mar 28, 2025
- HNW RAUM · $55.6M to $61.3MNov 26, 2024 to Mar 28, 2025
- Individual RAUM · $152M to $144MNov 26, 2024 to Mar 28, 2025
- Pension RAUM · $11.0M to $12.9MNov 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · unset to 0.0Nov 26, 2024 to Mar 28, 2025
- RAUM · $219M to $228MNov 26, 2024 to Mar 28, 2025
- Advisory employees · 11 to 9Mar 4, 2024 to Nov 26, 2024
- Custody of client assets · false to trueMar 4, 2024 to Nov 26, 2024
- Employees · 12 to 10Mar 4, 2024 to Nov 26, 2024
- State-registered IARs · 11 to 9Mar 4, 2024 to Nov 26, 2024
- Other offices · 0 to 1Mar 4, 2024 to Nov 26, 2024
Signals
9 dated events
- 3 advisors left MML Investors Services, LLC (Costa Mesa, CA) for Signature Resources Capital Management, LLC within 2 daysNov 4, 2025 · Team lift-out · derived
- Glenn Tyran Crawford left Signature Resources Capital Management, Llc for Mml Investors Services, Llc (registered 2026-04-23)Jul 3, 2025 · Advisor changed firm · fact
- Lane Geoffrey Kaltenbach (Managing Member) no longer on Schedule A of Signature Resources Capital Management, Llc (listed 2024-03-04, absent 2024-11-26)Nov 26, 2024 · Control person left · inference
- Christina Elizabeth Lawrence left Signature Resources Capital Management, Llc for Vector Financial Solutions, Inc. (registered 2024-11-29)Nov 21, 2024 · Advisor changed firm · fact
- Jon Nicholas Mclaughlin left Signature Resources Capital Management, Llc for Savvy (registered 2024-07-15)Jul 9, 2024 · Advisor changed firm · fact
- Jeremy Graham Edge left Signature Resources Capital Management, Llc for Mml Investors Services, Llc (registered 2023-12-08)Nov 29, 2023 · Advisor changed firm · fact
- Michael P Lacey left Signature Resources Capital Management, Llc for Mml Investors Services, Llc (registered 2021-08-06)Dec 8, 2022 · Advisor changed firm · fact
- Ann Beverly Kaltenbach (Managing Member) appeared on Schedule A of Signature Resources Capital Management, LlcJul 8, 2021 · Control person joined · fact
- Leroy Gary Kaltenbach (Managing Member) no longer on Schedule A of Signature Resources Capital Management, Llc (listed 2021-03-26, absent 2021-07-08)Jul 8, 2021 · Control person left · inference
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
- Firm profile
- linkedin.com/company/statera-asset-managementreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/signature-resources-capital-management-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- fmlycapital.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (949) 261-7726reportedpublic record, Form ADV, Mar 27, 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
- $19.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026