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
Towneley Capital Management, Inc.
Latest filing Apr 6, 2026
First filing on the tape Dec 10, 2013 · 33 filings
SEC status approved since Dec 19, 2013
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
26%
$283M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$156M
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.1B as of Apr 6, 2026
Jan 31, 2014$586M then
HNW client RAUM$231M as of Apr 6, 2026
Mar 2, 2018$315M then
State-registered IARs (5.B.3)7 as of Apr 6, 2026
Jan 31, 20147 then
Employees (5.A)12 as of Apr 6, 2026
Jan 31, 201414 then
Private funds: no history
RAUM +6.8% over the last fiscal year+10% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Apr 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 54%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $411M, 104 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$537M60%
- High-net-worth individuals$231M26%
- Individuals$51.8M5.7%
- Pension and profit-sharing plans$32.3M3.6%
- Corporations and businesses$29.9M3.3%
- Insurance companies$21.1M2.3%
- Individual clients
- 93reported
- HNW clients
- 61reported
- Pension plan clients
- 5reported
- Charitable clients
- 15reported
- Accounts
- 424reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $411M for 104 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.26 fund_share=0.0 institutional_share=0.54 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robyn Lynn ClarkeCertified Financial Planner | Laguna Hills, Ca | Dec 19, 2013 | 25 y | 1 |
| Tracy Ann KuntzCertified Financial Planner | Laguna Hills, Ca | Dec 19, 2013 | 41 y | 1 |
| Ernest Daniel GarrettCertified Financial Planner | Laguna Hills, Ca | Dec 19, 2013 | 27 y | 1 |
| Martin Daniel StandishCertified Financial Planner, Chartered Financial Analyst | Laguna Hills, Ca | Mar 27, 2019 | 15 y | 4 |
| Omid EftekhariChartered Financial Analyst | Laguna Hills, Ca | Dec 2, 2022 | 19 y | 1 |
| Carlos OrtegaCertified Financial Planner | Laguna Hills, Ca | Jul 17, 2023 | 10 y | 1 |
| Paula DurrantCertified Financial Planner | Laguna Hills, Ca | Nov 1, 2023 | 21 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount1 left over 36 months
Left, latest
- Scott Jolyon Monroe to 8020 Capital ManagementApr 6, 2026 · RIA to a state-registered adviser
- Cynthia Rose Sforza to Lucidity Wealth Advisors Inc.Aug 22, 2023 · RIA to a state-registered adviser
- Christopher Michael Gardner to SeiaSep 20, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- Scott Jolyon Monroe from Condor Capital Wealth ManagementSep 5, 2023 · Other
- Carlos Ortega from Securian Financial Services, Inc.Jul 17, 2023 · RIA to RIA
- Omid Eftekhari from Blackrock Investment Management, LLCDec 2, 2022 · Other
- Cynthia Rose Sforza from Creative PlanningMar 16, 2021 · RIA to RIA
- Martin Daniel Standish from LPL Financial LLCMar 27, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Daniel Ernest Garrett · Vice President Of Investment Servicescontrolsince 12/2013 · owns less than 5%
- Ann Tracy Kuntz · President, Chief Operating Officer And Chief Compliance Officercontrolsince 12/2013 · owns less than 5%
- George Wesley Mccain · Chairmancontrolsince 12/2013 · owns less than 5%
- George Wesley Mccain · Trusteecontrolsince 07/1979 · owns F of Manastee River Revocable Trust
- Miguel Paredes · Trusteecontrolsince 12/2018 · owns F of The Tcm Employee Stock Ownership Trust
Entity owners
- The Tcm Employee Stock · Trustdirect · owns 75% or more
- The Tcm Employee Stock Ownership Trust · Trustdirect · owns 75% or more
- Manastee River Revocable · Trustdirect · owns 10% to 25%
- Manastee River Revocable Trust · Trustdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Laguna Hills, Ca · principal | 7 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- client mix shiftChange between filings · filing Apr 6, 2026private-client share of RAUM moved from 45.0% to 26.0% between the annual amendments of 2025-04-28 and 2026-04-06peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 6, 2026PAREDES, MIGUEL (TRUSTEE) left Schedule A between the filings of 2023-03-13 and 2026-04-06peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 6, 2026MCCAIN, WESLEY, GEORGE (CHAIRMAN) left Schedule A between the filings of 2023-03-13 and 2026-04-06peers: independent wealth managers, $1B to $5B (1,360)
- HNW share shiftChange between filings · filing Apr 6, 2026HNW share of RAUM moved from 38.0% to 21.0% between the annual amendments of 2025-04-28 and 2026-04-06peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Advisory employees · 9 to 8Mar 6, 2026 to Apr 6, 2026
- Employees · 13 to 12Mar 6, 2026 to Apr 6, 2026
- State-registered IARs · 8 to 7Mar 6, 2026 to Apr 6, 2026
- Accounts · 423 to 424Oct 2, 2025 to Mar 6, 2026
- Charity clients · 12 to 15Oct 2, 2025 to Mar 6, 2026
- Corporate clients · unset to 4.0Oct 2, 2025 to Mar 6, 2026
- HNW clients · 90 to 61Oct 2, 2025 to Mar 6, 2026
- Individual clients · 97 to 93Oct 2, 2025 to Mar 6, 2026
- Pension plan clients · unset to 5.0Oct 2, 2025 to Mar 6, 2026
- Assets in custody · $322M to $411MOct 2, 2025 to Mar 6, 2026
- Financial planning clients · 51-100 to 26-50Oct 2, 2025 to Mar 6, 2026
- Discretionary RAUM · $1.0B to $1.1BOct 2, 2025 to Mar 6, 2026
- HNW RAUM · $392M to $231MOct 2, 2025 to Mar 6, 2026
- Individual RAUM · $64.9M to $51.8MOct 2, 2025 to Mar 6, 2026
- Pension RAUM · $26.6M to $32.3MOct 2, 2025 to Mar 6, 2026
- RAUM · $1.0B to $1.1BOct 2, 2025 to Mar 6, 2026
- Accounts · 400 to 423Feb 4, 2025 to Apr 28, 2025
- Charity clients · 10 to 12Feb 4, 2025 to Apr 28, 2025
- Corporate clients · 4.0 to unsetFeb 4, 2025 to Apr 28, 2025
- HNW clients · 91 to 90Feb 4, 2025 to Apr 28, 2025
- Individual clients · 98 to 97Feb 4, 2025 to Apr 28, 2025
- Assets in custody · $87.9M to $322MFeb 4, 2025 to Apr 28, 2025
- Financial planning clients · 11-25 to 51-100Feb 4, 2025 to Apr 28, 2025
- State-registered IARs · 9 to 8Feb 4, 2025 to Apr 28, 2025
- Discretionary RAUM · $882M to $1.0BFeb 4, 2025 to Apr 28, 2025
- HNW RAUM · $309M to $392MFeb 4, 2025 to Apr 28, 2025
- Individual RAUM · $51.1M to $64.9MFeb 4, 2025 to Apr 28, 2025
- Pension RAUM · $26.8M to $26.6MFeb 4, 2025 to Apr 28, 2025
- RAUM · $882M to $1.0BFeb 4, 2025 to Apr 28, 2025
- Accounts · 392 to 400Oct 19, 2023 to Mar 21, 2024
- Advisory employees · 10 to 9Oct 19, 2023 to Mar 21, 2024
- Corporate clients · 6 to 4Oct 19, 2023 to Mar 21, 2024
- HNW clients · 101 to 91Oct 19, 2023 to Mar 21, 2024
- Individual clients · 84 to 98Oct 19, 2023 to Mar 21, 2024
- Pension plan clients · 2.0 to unsetOct 19, 2023 to Mar 21, 2024
- Assets in custody · $21.9M to $87.9MOct 19, 2023 to Mar 21, 2024
- State-registered IARs · 8 to 9Oct 19, 2023 to Mar 21, 2024
- Discretionary RAUM · $819M to $882MOct 19, 2023 to Mar 21, 2024
- HNW RAUM · $315M to $309MOct 19, 2023 to Mar 21, 2024
- Individual RAUM · $41.4M to $51.1MOct 19, 2023 to Mar 21, 2024
Signals
6 dated events
- Scott Jolyon Monroe left Towneley Capital Management, Inc. for 8020 Capital Management (registered 2026-07-24)Apr 6, 2026 · Advisor changed firm · fact
- Cynthia Rose Sforza left Towneley Capital Management, Inc. for Lucidity Wealth Advisors Inc. (registered 2023-08-15)Aug 22, 2023 · Advisor changed firm · fact
- Daniel Ernest Garrett (Vice President Of Investment Services) appeared on Schedule A of Towneley Capital Management, Inc.Mar 13, 2023 · Control person joined · fact
- Larsen Nicholas Saakvitne (Trustee) no longer on Schedule A of Towneley Capital Management, Inc. (listed 2019-03-11, absent 2020-03-12)Mar 12, 2020 · Control person left · inference
- Miguel Paredes (Trustee) appeared on Schedule A of Towneley Capital Management, Inc.Mar 11, 2019 · Control person joined · fact
- Towneley Investment Management, Inc. filed its initial SEC registration (Form ADV)Dec 10, 2013 · 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 email
- info@towneley.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-545-4442reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/towneley-capital-management-inc-/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- towneley.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 949-837-3580reportedpublic record, Form ADV, Apr 6, 2026
- Contact form
- towneley.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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $156Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026