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
Stonemark Wealth Management
Legal name Wespac Advisors Socal, LLC
Latest filing Jun 12, 2026
First filing on the tape Oct 17, 2012 · 43 filings
SEC status approved since Nov 8, 2012
RAUM
$610M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$596M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$61.0M
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$610M as of Jun 12, 2026
Mar 1, 2013$134M then
HNW client RAUM$499M as of Jun 12, 2026
Feb 25, 2018$135M then
State-registered IARs (5.B.3)10 as of Jun 12, 2026
Mar 1, 20136 then
Employees (5.A)12 as of Jun 12, 2026
Mar 1, 20136 then
Private funds: no history
RAUM +18% over the last fiscal year+19% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Jun 12, 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
- $61.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $648,762derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $366M, 272 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$499M82%
- Individuals$97.2M16%
- Pension and profit-sharing plans$13.8M2.3%
- Individual clients
- 248reported
- HNW clients
- 150reported
- Pension plan clients
- 13reported
- Charitable clients
- n/areported
- Accounts
- 940reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $366M for 272 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Peter Pin Chen | Pasadena, Ca | Sep 21, 2011 | 28 y | 4 |
| Wade Steven Perry | Pasadena, Ca | Sep 21, 2011 | 28 y | 7 |
| Grover Kelley Mccarthy | Pasadena, Ca | Jun 3, 2021 | 11 y | 1 |
| Aidan Perry | Pasadena, Ca | Mar 3, 2023 | 12 y | 0 |
| Manuel Aguilera | Pasadena, Ca | Oct 6, 2023 | 14 y | 0 |
| Michael Kuzmak Van Lieshout | Pasadena, Ca | Feb 22, 2024 | 10 y | 0 |
| Jae Min Lee | Pasadena, Ca | Jul 22, 2024 | 10 y | 0 |
| Terry A LamnCertified Financial Planner | Pasadena, Ca | Aug 8, 2024 | 20 y | 6 |
| Alexandra Danielle Mccarthy | Pasadena, Ca | Aug 30, 2024 | 15 y | 0 |
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
- Alvin Siu-Lun Yam to Paraiba Wealth Management LLCMar 21, 2022 · RIA to a state-registered adviser
- Joseph Peter Traba to Strategy Asset Managers L.L.C.Feb 24, 2020 · RIA to RIA
- Leon Chang Soo Kim to Klk Capital Management LLCMay 29, 2019 · RIA to RIA
- Coco M Lorenzo to Monograph Wealth Advisors, LLCJan 31, 2017 · Other
- John Cole Williams to Wespac Advisors, LLCNov 18, 2013 · Other
Joined, latest
- Terry A Lamn from Charles Schwab & Co., Inc.Aug 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- Grover Kelley Mccarthy from Equitable Advisors, LLCJun 3, 2021 · Affiliated broker-dealer or bank to independent RIA
- Alvin Siu-Lun Yam from Westmount Partners, LLCJan 10, 2014 · Other
- Coco M Lorenzo from Wespac Advisors, LLCSep 21, 2011 · Other
- Wade Steven Perry from Wespac Advisors, LLCSep 21, 2011 · Other
- Joseph Peter Traba from Wespac Advisors, LLCSep 21, 2011 · Other
- Morgan Thomas Gough from Girard Securities, Inc.Sep 21, 2011 · Other
- Peter Pin Chen from Wespac Advisors, LLCSep 21, 2011 · Other
- John Cole Williams from Wespac Advisors, LLCSep 21, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Pin Peter Chen · Managing Membercontrolsince 06/2011 · owns 50% to 75%
- Steven Wade Perry · Managing Member And Chief Compliance Officercontrolsince 06/2011 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 10 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 853 to 940Dec 11, 2025 to Mar 17, 2026
- Advisory employees · 5 to 8Dec 11, 2025 to Mar 17, 2026
- HNW clients · 125 to 150Dec 11, 2025 to Mar 17, 2026
- Individual clients · 241 to 248Dec 11, 2025 to Mar 17, 2026
- Pension plan clients · 10 to 13Dec 11, 2025 to Mar 17, 2026
- Assets in custody · $374M to $366MDec 11, 2025 to Mar 17, 2026
- Financial planning clients · 11-25 to 26-50Dec 11, 2025 to Mar 17, 2026
- Discretionary RAUM · $516M to $596MDec 11, 2025 to Mar 17, 2026
- HNW RAUM · $394M to $499MDec 11, 2025 to Mar 17, 2026
- Individual RAUM · $93.1M to $97.2MDec 11, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $0 to $13.9MDec 11, 2025 to Mar 17, 2026
- Pension RAUM · $28.7M to $13.8MDec 11, 2025 to Mar 17, 2026
- RAUM · $516M to $610MDec 11, 2025 to Mar 17, 2026
- Accounts · 748 to 853Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 4 to 5Mar 27, 2024 to Mar 27, 2025
- HNW clients · 114 to 125Mar 27, 2024 to Mar 27, 2025
- Individual clients · 238 to 241Mar 27, 2024 to Mar 27, 2025
- Pension plan clients · 8 to 10Mar 27, 2024 to Mar 27, 2025
- Assets in custody · $289M to $374MMar 27, 2024 to Mar 27, 2025
- Employees · 7 to 12Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · 11-25 to 11-25Mar 27, 2024 to Mar 27, 2025
- State-registered IARs · 7 to 10Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $427M to $516MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $324M to $394MMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $88.1M to $93.1MMar 27, 2024 to Mar 27, 2025
- Pension RAUM · $15.4M to $28.7MMar 27, 2024 to Mar 27, 2025
- RAUM · $427M to $516MMar 27, 2024 to Mar 27, 2025
- Accounts · 340 to 748Feb 26, 2024 to Mar 27, 2024
- HNW clients · 100 to 114Feb 26, 2024 to Mar 27, 2024
- Individual clients · 235 to 238Feb 26, 2024 to Mar 27, 2024
- Pension plan clients · 13 to 8Feb 26, 2024 to Mar 27, 2024
- Assets in custody · $205M to $289MFeb 26, 2024 to Mar 27, 2024
- Employees · 11 to 7Feb 26, 2024 to Mar 27, 2024
- State-registered IARs · 4 to 7Feb 26, 2024 to Mar 27, 2024
- Discretionary RAUM · $366M to $427MFeb 26, 2024 to Mar 27, 2024
- HNW RAUM · $263M to $324MFeb 26, 2024 to Mar 27, 2024
- Individual RAUM · $90.0M to $88.1MFeb 26, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $140,815 to $0Feb 26, 2024 to Mar 27, 2024
- Pension RAUM · $13.3M to $15.4MFeb 26, 2024 to Mar 27, 2024
- RAUM · $366M to $427MFeb 26, 2024 to Mar 27, 2024
Signals
2 dated events
- Alvin Siu-Lun Yam left Stonemark Wealth Management for Paraiba Wealth Management Llc (registered 2022-09-12)Mar 21, 2022 · Advisor changed firm · fact
- Wespac Advisors Socal, Llc filed its initial SEC registration (Form ADV)Oct 17, 2012 · 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
- 626-304-9888reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- STONEMARKWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 626-304-9888reportedpublic record, Form ADV, Jun 12, 2026
- Contact form
- stonemarkwealth.com/contact-usreportedpublished 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
- $61.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026