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
Centaurus Financial, Inc.
Latest filing Jul 30, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Oct 8, 1999
RAUM
$9.7B
reported, Item 5.F
Discretionary
33%
of RAUM
Private clients
99%
$9.7B individuals and HNW
Advisors
427
registered through the firm on IAPD
RAUM per advisor
$22.8M
derived; firm RAUM over IAPD count
Employees
571
426 advisory (5.B.1)
Offices
278
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$9.7B as of Jul 30, 2026
Jul 30, 2012$498M then
HNW client RAUM$1.2B as of Jul 30, 2026
Jul 29, 2019$613M then
State-registered IARs (5.B.3)426 as of Jul 30, 2026
Jul 30, 20120 then
Employees (5.A)571 as of Jul 30, 2026
Jul 29, 2013650 then
Private funds: no history
RAUM +87% over the last fiscal year+32% a year over threeIARs 444 to 426offices 286 to 278
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $22.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 106derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $214,843derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 33%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived279 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -2.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%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 advisers, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Wrap fee program
- $5.2BreportedItem 5.I
- 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 a broker-dealer (6.A.1)
- 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
- Individuals$8.4B87%
- High-net-worth individuals$1.2B13%
- Corporations and businesses$69.1M0.7%
- Individual clients
- 44,727reported
- HNW clients
- 467reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 45,336reported
- Financial planning clients
- 500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=552.0derived
Advisors registered through the firm
424 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Scott Anthony Bloom | Aptos, Ca | Sep 23, 1999 | 47 y | 0 |
| Aaron Wayne Smith | Glen Allen, Va | Mar 1, 2000 | 35 y | 0 |
| James Richard Reitzel | Doylestown, Pa | Aug 22, 2000 | 39 y | 0 |
| Dawn Marie KirchnerCertified Financial Planner | Santa Barbara, Ca | Nov 27, 2000 | 29 y | 0 |
| Robert Warren Hitchcock | Norwood, Ma | Dec 20, 2000 | 40 y | 0 |
| James Arthur Bales | Newport News, Va | Jun 8, 2001 | 32 y | 0 |
| Gary Goldberg | O'Fallon, Il | Jun 11, 2001 | 37 y | 2 |
| Vincent Alfonso Crescenzo | Anaheim, Ca | Jul 24, 2001 | 31 y | 0 |
| Andrew Charles Gordon | Lake Forest, Ca | Feb 28, 2002 | 29 y | 0 |
| Gregory Scott JohnstoneCertified Financial Planner | Irvine, Ca | Mar 1, 2002 | 30 y | 0 |
| John Michael Stephens | Saratoga, Ca | Jun 14, 2002 | 35 y | 1 |
| Kent Austin Cooper | Redlands, Ca | Jul 10, 2002 | 35 y | 0 |
| John William Hartmann | Baton Rouge, La | Jul 24, 2002 | 26 y | 0 |
| Jeffrey David Morelan | Bellevue, Wa | Oct 3, 2002 | 25 y | 1 |
| Kapil Bhatnagar | Cupertino, Ca | Oct 10, 2002 | 33 y | 0 |
| John Michael Stolar | Morgantown, Wv | Nov 25, 2002 | 39 y | 1 |
| Allen Dean Poe | Parkcity, Ut | Nov 25, 2002 | 31 y | 1 |
| Michael Sterling Marshel | Richland, Wa | Feb 25, 2003 | 32 y | 1 |
| Bradley Laverle MillerChartered Financial Consultant | Topeka, Ks | Mar 10, 2003 | 40 y | 1 |
| Timothy Neil Tremblay | Santa Barbara, Ca | May 16, 2003 | 42 y | 1 |
| Lisa Toi Scrantz | Baton Rouge, La | Jul 7, 2003 | 42 y | 1 |
| Troy Nicholas Tremblay | Santa Barbara, Ca | Jul 29, 2003 | 23 y | 0 |
| Charles Martin Bloom | Ashland, Or | Aug 21, 2003 | 45 y | 0 |
| Paul Stanley NurkiewiczChartered Financial Consultant | Youngstown, Oh | Jan 20, 2004 | 26 y | 1 |
| Paul Michael GarganoCertified Financial Planner | Banner Elk, Nc | Feb 2, 2004 | 27 y | 1 |
| Timothy David McveyCertified Financial Planner | Huntington Beach, Ca | Sep 1, 2004 | 40 y | 1 |
| Richard Paul Marcil | Norwood, Ma | Oct 18, 2004 | 39 y | 0 |
| Brian Tw Bennett | Baton Rouge, La | Oct 26, 2004 | 42 y | 1 |
| Edward Rod Klesack | Ashland, Oh | Nov 4, 2004 | 27 y | 1 |
| Chad Randall Turner | Anaheim, Ca | Nov 9, 2004 | 43 y | 1 |
| Jay Je Seung Choi | Closter, Nj | Jan 3, 2005 | 22 y | 0 |
| Ronald Joseph Burkard | Santa Ana, Ca | Mar 7, 2005 | 30 y | 1 |
| Robert Andrew Jackson | Atlanta, Ga | Apr 29, 2005 | 36 y | 0 |
| Cheryl Lynn KitashimaCertified Financial Planner | Seattle, Wa | Jun 20, 2005 | 40 y | 1 |
| Charles Eugene Munoz | Costa Mesa, Ca | Jul 11, 2005 | 26 y | 1 |
| Richard Dennis Laspaluto | Las Vegas, Nv | Sep 14, 2005 | 31 y | 0 |
| Carol Butler HolmChartered Financial Consultant | Blackfoot, Id | Jan 17, 2006 | 42 y | 2 |
| Patricia Ann Marlow | Seatac, Wa | Jan 27, 2006 | 25 y | 2 |
| Scott Jay Schiffer | Irvine, Ca | Feb 7, 2006 | 33 y | 0 |
| Jonathan G Sheard | Honesdale, Pa | Jun 2, 2006 | 24 y | 0 |
Advisor movement
11 left, 10 joined in 12 months
net -1 in 12 months3 left in 90 days3 joined in 90 daysdeparture rate 2.6% of current headcount59 left over 36 months
Left, latest
- Marc Wulf to Castle Wealth GroupJul 6, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- Michael Patrick Mcfadden to Castle Wealth GroupJul 6, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- Jonathan Malone to Castle Wealth GroupJul 6, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- Annette Patricia Shanks to LPL Financial LLCMay 14, 2026 · Affiliated broker-dealer or bank to another
- Natan Mckenzie to Navy Federal Investment Services, LLCMay 11, 2026 · Affiliated broker-dealer or bank to another
- Teresa Marie Toyama to LPL Financial LLCMar 9, 2026 · Affiliated broker-dealer or bank to another
- Michelle Elizabeth Fenton to LPL Financial LLCMar 9, 2026 · Affiliated broker-dealer or bank to another
- Robert Steven Fenton to LPL Financial LLCMar 9, 2026 · Affiliated broker-dealer or bank to another
- Steven Guan to Rockefeller Capital ManagementNov 24, 2025 · Affiliated broker-dealer or bank to another
- Thomas Carlos Nieves to Bfc Planning, Inc.Nov 10, 2025 · Affiliated broker-dealer or bank to another
- William Eldon Tufts to Saxony Capital Management, LLCSep 19, 2025 · Affiliated broker-dealer or bank to independent RIA
- Gale Ann Brodie to Vanderbilt Advisory ServicesSep 10, 2025 · Affiliated broker-dealer or bank to another
- Christian Enrique Vasquez to Strategic Advisers LLCAug 20, 2025 · Affiliated broker-dealer or bank to another
- Brady Hanson to Goldman Sachs Wealth Services, L.P.Aug 8, 2025 · Affiliated broker-dealer or bank to another
- Kasey Luv Davis to Private Advisor Group, LLCJul 25, 2025 · Affiliated broker-dealer or bank to another
Joined, latest
- Frances Yvette Maniscalco from Banc Of America Investment Services, Inc.Sep 15, 2026 · Other
- Daniel I Forbes from Hornor, Townsend & Kent, LLCAug 7, 2026 · RIA to affiliated broker-dealer or bank
- Dino Constantine Gavanes from Equitable Advisors, LLCJul 8, 2026 · Affiliated broker-dealer or bank to another
- Christopher B Krupp from Equitable Advisors, LLCMay 18, 2026 · Affiliated broker-dealer or bank to another
- Katherine Schwartz from Colomb Investment Management Company, LLCMar 3, 2026 · RIA to affiliated broker-dealer or bank
- Noreen Emily Mares from Wells Fargo AdvisorsFeb 11, 2026 · Wirehouse to affiliated broker-dealer or bank
- Chris H Naum from LPL Financial LLCNov 6, 2025 · Affiliated broker-dealer or bank to another
- Ana Maria Franco from Cambridge Investment Research Advisors, Inc.Oct 21, 2025 · Affiliated broker-dealer or bank to another
- Frank Alexander Ballinger from Aegis Capital Corp.Oct 16, 2025 · Affiliated broker-dealer or bank to another
- Joshua K Tootle from Valic Financial Advisors, Inc.Oct 13, 2025 · Affiliated broker-dealer or bank to another
- Andres Gomez from Cambridge Investment Research Advisors, Inc.Sep 11, 2025 · Affiliated broker-dealer or bank to another
- Denise Lynn Mccoy from Vanguard Advisers, Inc.Jul 29, 2025 · Affiliated broker-dealer or bank to another
- Humberto Larios from Cambridge Investment Research Advisors, Inc.Jul 25, 2025 · Affiliated broker-dealer or bank to another
- Gale Ann Brodie from Vanderbilt Advisory ServicesJul 14, 2025 · Affiliated broker-dealer or bank to another
- Joel E Archer from Independent Financial Group, LLCJun 24, 2025 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Castle Wealth GroupJul 6, 2026 · Leesburg, Va
- 3 left for LPL Financial LLCMar 9, 2026 · Anaheim, Ca
- 2 left for LPL Financial LLCNov 11, 2024 · Glendale, Az
- 2 left for Osaic Wealth, Inc.Mar 14, 2024 · Hayden, Id
- 2 left for Five Pine WealthJan 19, 2022 · Hayden, Id
- 2 left for Thepartners Wealth ManagementNov 12, 2021 · Upland, Ca
- 3 left for LPL Financial LLCMar 12, 2021 · Royal Oak, Mi
- 4 left for Mason & Associates, LLCOct 1, 2020 · Newport News, Va
- 2 joined from Cambridge Investment Research Advisors, Inc.Sep 9, 2025 · Miami, Fl
- 2 joined from Cambridge Investment Research Advisors, Inc.Feb 16, 2023 · Annapolis, Md
- 6 joined from USA Financial Securities LLCJan 20, 2023 · Tomball, Tx
- 2 joined from Woodbury Financial Services, Inc.Mar 16, 2022 · Biloxi, Ms
- 2 joined from Woodbury Financial Services, Inc.Jun 23, 2021 · Charlotte, Nc
- 3 joined from Woodbury Financial Services, Inc.Apr 6, 2021 · Lake Charles, La
- 2 joined from Summit Financial Group IncJan 17, 2020 · Woodland Hills, Ca
- 2 joined from Ameriprise Financial Services, LLCDec 19, 2018 · Draper, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Glenn Adams · Director/Svpcontrolsince 07/2015 · owns less than 5%
- Jerome Victor Duhovic · Chief Compliance Officercontrolsince 09/2017 · owns less than 5%
- James Ronald Sr King · Director/Chairman Of The Board/Ceocontrolsince 10/2007 · owns less than 5%
- Paul J King · Director/General Counsel Officer And Principal Operations Officercontrolsince 06/2012 · owns less than 5%
- Westley Hayes King · Director/Presidentcontrolsince 11/2007 · owns less than 5%
- Sheri J Lejman · Chief Financial Officer/Svp/Financial And Operations Principalcontrolsince 10/2014 · owns less than 5%
- Jerome Victor Duhovic · Shareholdercontrolsince 08/2007 · owns 25% to 50% of Federation Of Financial Services
- James Ronald Sr King · Shareholdercontrolsince 12/1995 · owns 50% to 75% of Federation Of Financial Services
- Stephen Mark Kremer · Ownersince 06/1999 · owns 5% to 10%
- Michael Peter Rubino · Ownersince 06/1999 · owns 5% to 10%
Entity owners
- Federation Of Financial · Ownerdirect · owns 75% or more
- Federation Of Financial Services · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Centaurus Insurance Services, Inc.real estaten
- Centaurus Texas, Inc.real estaten
- Cfi New Mexico, Inc.real estaten
- Cgm Risk Management And Insurance Services, LLCreal estaten
- Pacific Point Securities, LLCbroker-dealern
Advisers that list Centaurus Financial, Inc. as a related person
- 132837 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Anaheim, Ca · principal | 155 | 13 | 3 | 1 | |
| Leesburg, Va | 50 | 2 | 2 | 1 | |
| Hayden, Id | 15 | 2 | 0 | ||
| Santa Barbara, Ca | 13 | 0 | 0 | ||
| Lexington, Sc | 12 | 2 | 0 | ||
| Tucson, Az | 10 | 0 | 0 | ||
| Irvine, Ca | 10 | 0 | 0 | ||
| Upland, Ca | 9 | 0 | 0 | ||
| Scottsdale, Az | 9 | 1 | 0 | ||
| San Jose, Ca | 8 | 1 | 0 | ||
| Las Vegas, Nv | 7 | 2 | 0 | ||
| Honesdale, Pa | 7 | 0 | 0 | ||
| Newport Beach, Ca | 7 | 1 | 0 | ||
| Montgomery, Tx | 7 | 0 | 0 | ||
| Downey, Ca | 6 | 4 | 0 | ||
| Morgantown, Wv | 6 | 0 | 0 | ||
| Highland Village, Tx | 6 | 1 | 0 | ||
| Honolulu, Hi | 5 | 0 | 0 | ||
| Lake Charles, La | 5 | 0 | 0 | ||
| Westlake Village, Ca | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Anaheim, CA128 employees
- Anaheim, CA76 employees
- Leesburg, VA66 employees
- Hayden, ID16 employees
- Lexington, SC15 employees
- Anaheim, CA13 employees
- Upland, CA12 employees
- Santa Barbara, CA11 employees
- Downey, CA8 employees
- Highland Village, TX7 employees
- Scottsdale, AZ7 employees
- Newport Beach, CA7 employees
- Westlake Village, CA7 employees
- Santa Maria, CA7 employees
- Montgomery, TX6 employees
- West Hills, CA6 employees
- Shelton, CT6 employees
- Elmhurst, IL6 employees
- Norwood, MA5 employees
- Auburn Hills, MI5 employees
- Myrtle Beach, SC5 employees
- Tallahassee, FL5 employees
- Morgantown, WV5 employees
- Baton Rouge, LA5 employees
- Tucson, AZ5 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 30, 2026ADAMS, JOHN GLENN (DIRECTOR/SVP) left Schedule A between the filings of 2015-07-30 and 2026-07-30peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jul 30, 2026LEJMAN, SHERI J (CHIEF FINANCIAL OFFICER/SVP/FINANCIAL AND OPERATIONS PRINCIPAL) left Schedule A between the filings of 2015-07-30 and 2026-07-30peers: affiliated wealth managers, $5B to $20B (53)
What changed
consecutive filings, newest first
- Accounts · 38,049 to 45,336Jul 24, 2025 to Jul 30, 2026
- Advisory employees · 375 to 426Jul 24, 2025 to Jul 30, 2026
- BD registered reps · 580 to 552Jul 24, 2025 to Jul 30, 2026
- Corporate clients · 94 to 142Jul 24, 2025 to Jul 30, 2026
- HNW clients · 330 to 467Jul 24, 2025 to Jul 30, 2026
- Individual clients · 37,625 to 44,727Jul 24, 2025 to Jul 30, 2026
- Employees · 580 to 571Jul 24, 2025 to Jul 30, 2026
- Insurance-licensed employees · 14 to 7Jul 24, 2025 to Jul 30, 2026
- State-registered IARs · 375 to 426Jul 24, 2025 to Jul 30, 2026
- Discretionary RAUM · $2.4B to $3.2BJul 24, 2025 to Jul 30, 2026
- HNW RAUM · $851M to $1.2BJul 24, 2025 to Jul 30, 2026
- Individual RAUM · $6.4B to $8.4BJul 24, 2025 to Jul 30, 2026
- Non-discretionary RAUM · $5.0B to $6.5BJul 24, 2025 to Jul 30, 2026
- RAUM · $7.3B to $9.7BJul 24, 2025 to Jul 30, 2026
- Accounts · 34,053 to 38,049Jul 29, 2024 to Jul 24, 2025
- Advisory employees · 432 to 375Jul 29, 2024 to Jul 24, 2025
- Corporate clients · 80 to 94Jul 29, 2024 to Jul 24, 2025
- HNW clients · 300 to 330Jul 29, 2024 to Jul 24, 2025
- Individual clients · 33,672 to 37,625Jul 29, 2024 to Jul 24, 2025
- Financial planning clients · More than 500 to More than 500Jul 29, 2024 to Jul 24, 2025
- State-registered IARs · 432 to 375Jul 29, 2024 to Jul 24, 2025
- Other offices · 280 to 278Jul 29, 2024 to Jul 24, 2025
- Discretionary RAUM · $2.1B to $2.4BJul 29, 2024 to Jul 24, 2025
- HNW RAUM · $753M to $851MJul 29, 2024 to Jul 24, 2025
- Individual RAUM · $5.5B to $6.4BJul 29, 2024 to Jul 24, 2025
- Non-discretionary RAUM · $4.2B to $5.0BJul 29, 2024 to Jul 24, 2025
- RAUM · $6.3B to $7.3BJul 29, 2024 to Jul 24, 2025
- Accounts · 30,814 to 34,053Jul 28, 2023 to Jul 29, 2024
- Advisory employees · 444 to 432Jul 28, 2023 to Jul 29, 2024
- BD registered reps · 598 to 580Jul 28, 2023 to Jul 29, 2024
- Corporate clients · 73 to 80Jul 28, 2023 to Jul 29, 2024
- HNW clients · 271 to 300Jul 28, 2023 to Jul 29, 2024
- Individual clients · 30,470 to 33,672Jul 28, 2023 to Jul 29, 2024
- Employees · 598 to 580Jul 28, 2023 to Jul 29, 2024
- Insurance-licensed employees · 9 to 14Jul 28, 2023 to Jul 29, 2024
- State-registered IARs · 444 to 432Jul 28, 2023 to Jul 29, 2024
- Other offices · 286 to 280Jul 28, 2023 to Jul 29, 2024
- Discretionary RAUM · $1.7B to $2.1BJul 28, 2023 to Jul 29, 2024
- HNW RAUM · $646M to $753MJul 28, 2023 to Jul 29, 2024
- Individual RAUM · $4.5B to $5.5BJul 28, 2023 to Jul 29, 2024
Signals
60 dated events
- Christopher Bezich added a MI registration at Centaurus Financial, Inc.Sep 16, 2026 · New state registration · fact
- Frances Yvette Maniscalco registered as an investment adviser representative at Centaurus Financial, Inc.Sep 15, 2026 · Advisor registered · fact
- Jonathan Penaloza added a NV registration at Centaurus Financial, Inc.Sep 15, 2026 · New state registration · fact
- Jeffrey Alan Rittner added a WI registration at Centaurus Financial, Inc.Sep 15, 2026 · New state registration · fact
- Andres Gomez added a CT registration at Centaurus Financial, Inc.Sep 14, 2026 · New state registration · fact
- Sherri Lynn Desjardins added a NC registration at Centaurus Financial, Inc.Sep 14, 2026 · New state registration · fact
- Steven B Schwartz added a ND registration at Centaurus Financial, Inc.Sep 14, 2026 · New state registration · fact
- Christopher Bezich added a MA registration at Centaurus Financial, Inc.Sep 9, 2026 · New state registration · fact
- Christopher Bezich added a NC registration at Centaurus Financial, Inc.Aug 19, 2026 · New state registration · fact
- Christopher Bezich added a SC registration at Centaurus Financial, Inc.Aug 19, 2026 · New state registration · fact
- Jeffrey Alan Rittner added a AR registration at Centaurus Financial, Inc.Aug 18, 2026 · New state registration · fact
- Christopher Bezich added a NY registration at Centaurus Financial, Inc.Aug 17, 2026 · New state registration · fact
- Christopher Bezich added a NJ registration at Centaurus Financial, Inc.Aug 14, 2026 · New state registration · fact
- Centaurus Financial, Inc. reported RAUM $9.7B, up 33% from $7.3B (2025-07-24 to 2026-07-30)Jul 30, 2026 · RAUM change · derived
- Jonathan Malone left Centaurus Financial, Inc. for Castle Wealth Group (registered 2026-06-22)Jul 6, 2026 · Advisor changed firm · fact
- Marc Wulf left Centaurus Financial, Inc. for Castle Wealth Group (registered 2026-06-22)Jul 6, 2026 · Advisor changed firm · fact
- Michael Patrick Mcfadden left Centaurus Financial, Inc. for Castle Wealth Group (registered 2026-06-22)Jul 6, 2026 · Advisor changed firm · fact
- 2 advisors left Centaurus Financial, Inc. (Leesburg, VA) for Castle Wealth Group on the same dayJul 6, 2026 · Team lift-out · derived
- Annette Patricia Shanks left Centaurus Financial, Inc. for Lpl Financial Llc (registered 2026-05-14)May 14, 2026 · Advisor changed firm · fact
- Natan Mckenzie left Centaurus Financial, Inc. for Navy Federal Investment Services, Llc (registered 2026-04-21)May 11, 2026 · Advisor changed firm · fact
- Teresa Marie Toyama left Centaurus Financial, Inc. for Lpl Financial Llc (registered 2026-03-09)Mar 9, 2026 · Advisor changed firm · fact
- Robert Steven Fenton left Centaurus Financial, Inc. for Lpl Financial Llc (registered 2026-03-09)Mar 9, 2026 · Advisor changed firm · fact
- Michelle Elizabeth Fenton left Centaurus Financial, Inc. for Lpl Financial Llc (registered 2026-03-09)Mar 9, 2026 · Advisor changed firm · fact
- 3 advisors left Centaurus Financial, Inc. (Anaheim, CA) for LPL Financial LLC on the same dayMar 9, 2026 · Team lift-out · derived
- Steven Guan left Centaurus Financial, Inc. for Rockefeller Capital Management (registered 2025-12-10)Nov 24, 2025 · Advisor changed firm · fact
- Thomas Carlos Nieves left Centaurus Financial, Inc. for Bfc Planning, Inc. (registered 2025-12-12)Nov 10, 2025 · Advisor changed firm · fact
- William Eldon Tufts left Centaurus Financial, Inc. for Saxony Capital Management, Llc (registered 2026-06-16)Sep 19, 2025 · Advisor changed firm · fact
- Gale Ann Brodie left Centaurus Financial, Inc. for Vanderbilt Advisory Services (registered 2025-08-11)Sep 10, 2025 · Advisor changed firm · fact
- 2 advisors left Cambridge Investment Research Advisors, Inc. (Miami, FL) for Centaurus Financial, Inc. on the same daySep 9, 2025 · Team lift-out · derived
- Christian Enrique Vasquez left Centaurus Financial, Inc. for Strategic Advisers Llc (registered 2025-09-12)Aug 20, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Centaurus Financial, Inc. · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/centaurus-financial-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- CENTAURUSFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 714-456-1790reportedpublic record, Form ADV, Jul 30, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $22.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026