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.
Former SEC-registered adviser
Catalina Capital Group, LLC
Latest filing Feb 18, 2026
First filing on the tape Mar 24, 2017 · 39 filings
SEC status approved since Apr 13, 2017
RAUM
$616M
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
65%
$399M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$616M as of Feb 18, 2026
Mar 16, 2018$148M then
HNW client RAUM$380M as of Feb 18, 2026
Mar 16, 2018$130M then
State-registered IARs (5.B.3)3 as of Feb 18, 2026
Mar 16, 20183 then
Employees (5.A)3 as of Feb 18, 2026
Mar 16, 20185 then
Private funds: no history
RAUM -20% over the last fiscal year+16% a year over threeIARs 3 to 3offices 1 to 0
Practice profile
derived from the filing of Feb 18, 2026; every figure names its basis
- RAUM per advisor
- $205MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%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, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $157M, 132 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)
- compensates persons for client referrals (8.G.1)
- 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$380M62%
- Pension and profit-sharing plans$218M35%
- Individuals$18.8M3.0%
- Corporations and businesses$159,7970.0%
- Individual clients
- 78reported
- HNW clients
- 110reported
- Pension plan clients
- 48reported
- Charitable clients
- 0reported
- Accounts
- 573reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $157M for 132 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
- Calvin Dean Hedman to Vance WealthJun 10, 2026 · RIA to RIA
- Philippe Robert Oertle to Cw Advisors, LLCJun 10, 2026 · RIA to RIA
- Chris Matthew Frantz to Cw Advisors, LLCJun 10, 2026 · RIA to RIA
- Bradd Allen Donovan to Cw Advisors, LLCJun 10, 2026 · RIA to RIA
- Kyle Jacob Lunde to Smartharvest PortfoliosDec 3, 2024 · RIA to a newly registered adviser
- David Robert Kempton to Commonwealth Financial NetworkOct 11, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- David Robert Kempton from Scf Investment Advisors, Inc.May 18, 2021 · Other
- Kyle Jacob Lunde from Parametric Portfolio AssociatesFeb 1, 2021 · RIA to RIA
- Bradd Allen Donovan from Principal Securities, Inc.Sep 11, 2017 · Other
- Calvin Dean Hedman from Ep Wealth AdvisorsSep 1, 2017 · Other
- Philippe Robert Oertle from First Foundation AdvisorsJul 11, 2016 · Other
- Chris Matthew Frantz from Daniel Wealth AdvisorsSep 19, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Cw Advisors, LLCJun 10, 2026 · Torrance, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Matthew Chris Frantz · Managing Member/Chief Compliance Officercontrolsince 08/2014 · owns 50% to 75%
- Robert Philippe Oertle · Membercontrolsince 08/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Torrance, Ca · principal | 0 | 0 | 4 |
Offices
Schedule D 1.F, the 25 largest
- Poulsbo, WA1 employees
What changed
consecutive filings, newest first
- Accounts · 740 to 573Mar 4, 2025 to Feb 18, 2026
- HNW clients · 100 to 110Mar 4, 2025 to Feb 18, 2026
- Pension plan clients · 50 to 48Mar 4, 2025 to Feb 18, 2026
- Assets in custody · $203M to $157MMar 4, 2025 to Feb 18, 2026
- Other offices · 1 to 0Mar 4, 2025 to Feb 18, 2026
- Discretionary RAUM · $576M to $403MMar 4, 2025 to Feb 18, 2026
- HNW RAUM · $303M to $380MMar 4, 2025 to Feb 18, 2026
- Individual RAUM · $30.6M to $18.8MMar 4, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $191M to $213MMar 4, 2025 to Feb 18, 2026
- Pension RAUM · $193M to $218MMar 4, 2025 to Feb 18, 2026
- RAUM · $767M to $616MMar 4, 2025 to Feb 18, 2026
- Accounts · 687 to 740Dec 3, 2024 to Mar 4, 2025
- Corporate clients · 1 to 2Dec 3, 2024 to Mar 4, 2025
- HNW clients · 99 to 100Dec 3, 2024 to Mar 4, 2025
- Individual clients · 70 to 78Dec 3, 2024 to Mar 4, 2025
- Pension plan clients · 84 to 50Dec 3, 2024 to Mar 4, 2025
- Assets in custody · $181M to $203MDec 3, 2024 to Mar 4, 2025
- Financial planning clients · 26-50 to 26-50Dec 3, 2024 to Mar 4, 2025
- Discretionary RAUM · $446M to $576MDec 3, 2024 to Mar 4, 2025
- HNW RAUM · $278M to $303MDec 3, 2024 to Mar 4, 2025
- Individual RAUM · $22.3M to $30.6MDec 3, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $184M to $191MDec 3, 2024 to Mar 4, 2025
- Pension RAUM · $186M to $193MDec 3, 2024 to Mar 4, 2025
- RAUM · $630M to $767MDec 3, 2024 to Mar 4, 2025
- Advisory employees · 4 to 3Oct 11, 2024 to Dec 3, 2024
- Employees · 4 to 3Oct 11, 2024 to Dec 3, 2024
- State-registered IARs · 4 to 3Oct 11, 2024 to Dec 3, 2024
- Advisory employees · 5 to 4Aug 29, 2024 to Oct 11, 2024
- Employees · 5 to 4Aug 29, 2024 to Oct 11, 2024
- State-registered IARs · 5 to 4Aug 29, 2024 to Oct 11, 2024
- Accounts · 541 to 687Aug 28, 2023 to Mar 10, 2024
- Corporate clients · 3 to 1Aug 28, 2023 to Mar 10, 2024
- HNW clients · 94 to 99Aug 28, 2023 to Mar 10, 2024
- Individual clients · 62 to 70Aug 28, 2023 to Mar 10, 2024
- Pension plan clients · 70 to 84Aug 28, 2023 to Mar 10, 2024
- Assets in custody · $182M to $181MAug 28, 2023 to Mar 10, 2024
- Other offices · 0 to 1Aug 28, 2023 to Mar 10, 2024
- Discretionary RAUM · $283M to $446MAug 28, 2023 to Mar 10, 2024
- HNW RAUM · $238M to $278MAug 28, 2023 to Mar 10, 2024
- Individual RAUM · $14.0M to $22.3MAug 28, 2023 to Mar 10, 2024
Signals
10 dated events
- Catalina Capital Group, Llc no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $616.3M)Jul 1, 2026 · Left the SEC roster · derived
- Chris Matthew Frantz left Catalina Capital Group, Llc for Cw Advisors, Llc (registered 2026-06-01)Jun 10, 2026 · Advisor changed firm · fact
- Bradd Allen Donovan left Catalina Capital Group, Llc for Cw Advisors, Llc (registered 2026-06-01)Jun 10, 2026 · Advisor changed firm · fact
- Calvin Dean Hedman left Catalina Capital Group, Llc for Vance Wealth (registered 2026-07-10)Jun 10, 2026 · Advisor changed firm · fact
- Philippe Robert Oertle left Catalina Capital Group, Llc for Cw Advisors, Llc (registered 2026-06-01)Jun 10, 2026 · Advisor changed firm · fact
- Catalina Capital Group, LLC's advisors moved to CW Advisors, LLC (Torrance, CA): 3 of 4 registered, on the same dayJun 10, 2026 · Firm absorbed (people side) · derived
- Kyle Jacob Lunde left Catalina Capital Group, Llc for Smartharvest Portfolios (registered 2025-01-03)Dec 3, 2024 · Advisor changed firm · fact
- David Robert Kempton left Catalina Capital Group, Llc for Commonwealth Financial Network (registered 2024-10-04)Oct 11, 2024 · Advisor changed firm · fact
- Catalina Capital Group, Llc reported RAUM $629.6M, up 60% from $394.6M (2023-08-28 to 2024-03-10)Mar 10, 2024 · RAUM change · derived
- Catalina Capital Group, Llc filed its initial SEC registration (Form ADV)Mar 24, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Catalina Capital Group, LLC · Private Equityshared crd · intermediary
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026