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
Pacific Financial Strategies, Inc
Latest filing Jun 24, 2026
First filing on the tape Mar 19, 2012 · 28 filings
SEC status approved since Dec 7, 2009
RAUM
$201M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$201M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$67.1M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$201M as of Jun 24, 2026
Mar 19, 2012$106M then
HNW client RAUM$142M as of Jun 24, 2026
Feb 23, 2018$16.5M then
State-registered IARs (5.B.3)3 as of Jun 24, 2026
Mar 19, 20120 then
Employees (5.A)5 as of Jun 24, 2026
Jan 29, 20134 then
Private funds: no history
RAUM +11% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 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
- 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
- $67.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 238derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $205,295derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +47%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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
- High-net-worth individuals$142M71%
- Individuals$59.1M29%
- Individual clients
- 600reported
- HNW clients
- 113reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 980reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joseph Arthur Garcia | Thousand Oaks, Ca | Mar 13, 2017 | 27 y | 3 |
| Anna-Christina Brockschmidt | Thousand Oaks, Ca | Dec 12, 2021 | 14 y | 0 |
| Ariana Justine Mcdonald | Thousand Oaks, Ca | Apr 20, 2023 | 10 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Jordan Scott Kane to Hillcrest Financial GroupJan 17, 2023 · RIA to RIA
- Brenda Jean Coyle to C 3 Financial StrategiesJan 16, 2017 · Other
- Simon Chung-Yee Liu to Hcr Wealth AdvisorsApr 14, 2016 · Other
- Arthur Cole Garcia to Atlas Financial Advisors, Inc.Mar 30, 2012 · Other
- Steven Paul Van Metre to Atlas Financial Advisors, Inc.Mar 30, 2012 · Other
- Todd Justin Lerner to Morgan StanleyJun 3, 2011 · Other
Joined, latest
- Ariana Justine Mcdonald from C 3 Financial StrategiesApr 20, 2023 · Other
- Joseph Arthur Garcia from Concourse Financial Group AdvisorsMar 13, 2017 · Other
- Simon Chung-Yee Liu from Daat Asset ManagementJul 29, 2011 · Other
- Steven Paul Van Metre from Brokersxpress LLCJun 3, 2010 · Other
- Todd Justin Lerner from Concourse Financial Group AdvisorsJan 25, 2010 · Other
- Arthur Cole Garcia from Concourse Financial Group AdvisorsJan 22, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Arthur Joseph Garcia · President/Chief Compliance Officercontrolsince 11/2009 · owns 5% to 10%
- Anna-Christina Brockschmidt · Vice President/Financial Advisorsince 11/2015 · 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 |
|---|---|---|---|---|---|
| Thousand Oaks, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Ventura, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Jun 24, 2026private clients per advisor of 237.7 against a peer median of 57.3 (3075 comparable advisers, 98.0th percentile, 5.1 robust deviations)peers: independent wealth managers, $100M to $500M (3,075) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 864 to 980Mar 20, 2025 to Feb 10, 2026
- HNW clients · 105 to 113Mar 20, 2025 to Feb 10, 2026
- Individual clients · 381 to 600Mar 20, 2025 to Feb 10, 2026
- Financial planning clients · 51-100 to 26-50Mar 20, 2025 to Feb 10, 2026
- Discretionary RAUM · $182M to $201MMar 20, 2025 to Feb 10, 2026
- HNW RAUM · $111M to $142MMar 20, 2025 to Feb 10, 2026
- Individual RAUM · $70.6M to $59.1MMar 20, 2025 to Feb 10, 2026
- RAUM · $182M to $201MMar 20, 2025 to Feb 10, 2026
- Accounts · 707 to 864Mar 1, 2024 to Mar 20, 2025
- HNW clients · 19 to 105Mar 1, 2024 to Mar 20, 2025
- Individual clients · 421 to 381Mar 1, 2024 to Mar 20, 2025
- Financial planning clients · 1-10 to 51-100Mar 1, 2024 to Mar 20, 2025
- Discretionary RAUM · $138M to $182MMar 1, 2024 to Mar 20, 2025
- HNW RAUM · $42.6M to $111MMar 1, 2024 to Mar 20, 2025
- Individual RAUM · $95.4M to $70.6MMar 1, 2024 to Mar 20, 2025
- RAUM · $138M to $182MMar 1, 2024 to Mar 20, 2025
- Accounts · 817 to 707Mar 14, 2023 to Feb 27, 2024
- Other offices · 2 to 1Mar 14, 2023 to Feb 27, 2024
- Discretionary RAUM · $118M to $138MMar 14, 2023 to Feb 27, 2024
- HNW RAUM · $27.7M to $42.6MMar 14, 2023 to Feb 27, 2024
- Individual RAUM · $90.3M to $95.4MMar 14, 2023 to Feb 27, 2024
- RAUM · $118M to $138MMar 14, 2023 to Feb 27, 2024
- Accounts · 790 to 817Mar 28, 2022 to Mar 14, 2023
- HNW clients · 40 to 19Mar 28, 2022 to Mar 14, 2023
- Individual clients · 378 to 421Mar 28, 2022 to Mar 14, 2023
- Discretionary RAUM · $145M to $118MMar 28, 2022 to Mar 14, 2023
- HNW RAUM · $70.9M to $27.7MMar 28, 2022 to Mar 14, 2023
- Individual RAUM · $74.3M to $90.3MMar 28, 2022 to Mar 14, 2023
- RAUM · $145M to $118MMar 28, 2022 to Mar 14, 2023
- Accounts · 736 to 790Feb 25, 2021 to Mar 28, 2022
- HNW clients · 25 to 40Feb 25, 2021 to Mar 28, 2022
- Individual clients · 322 to 378Feb 25, 2021 to Mar 28, 2022
- Employees · 4 to 5Feb 25, 2021 to Mar 28, 2022
- Financial planning clients · 251-500 to 1-10Feb 25, 2021 to Mar 28, 2022
- Other offices · 1 to 2Feb 25, 2021 to Mar 28, 2022
- Discretionary RAUM · $129M to $145MFeb 25, 2021 to Mar 28, 2022
- HNW RAUM · $37.3M to $70.9MFeb 25, 2021 to Mar 28, 2022
- Individual RAUM · $92.2M to $74.3MFeb 25, 2021 to Mar 28, 2022
- RAUM · $129M to $145MFeb 25, 2021 to Mar 28, 2022
- Accounts · 603 to 736Jun 16, 2020 to Feb 25, 2021
Signals
1 dated events
- Jordan Scott Kane left Pacific Financial Strategies, Inc for Hillcrest Financial Group (registered 2023-01-04)Jan 17, 2023 · Advisor changed firm · 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
- general@pacfs.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 818-735-0780reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 818-991-7794reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/pacific-financial-strategies-increportedpublic record, Form ADV, Sep 17, 2026
- Website
- PACFS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (818) 991-7794reportedpublic record, Form ADV, Jun 24, 2026
- Contact form
- pacfs.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
- $67.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026