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

Vance Wealth

Independent wealth managerSanta Clarita, CaliforniaCRD 310162SEC 801-119423websiteIAPD
Legal name Vance Wealth, LLC
Latest filing May 7, 2026
First filing on the tape Aug 10, 2020 · 20 filings
SEC status approved since Sep 9, 2020
RAUM
$894M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
85%
$757M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$68.7M
derived; firm RAUM over IAPD count
Employees
22
10 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$894M as of May 7, 2026
Mar 24, 2021$356M then
HNW client RAUM$637M as of May 7, 2026
Mar 24, 2021$289M then
State-registered IARs (5.B.3)10 as of May 7, 2026
Mar 24, 20216 then
Employees (5.A)22 as of May 7, 2026
Mar 24, 202111 then
Private funds: no history
RAUM +21% over the last fiscal year+26% a year over threeIARs 11 to 10offices 3 to 4
Practice profile
derived from the filing of May 7, 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
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RAUM per advisor
$68.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.4MderivedHNW RAUM over HNW clients
Average account
$569,875derivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
2.6derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
-9.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.3%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, otherreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$637M71%
  • Pension and profit-sharing plans$135M15%
  • Individuals$120M13%
  • Charitable organizations$1.1M0.1%
Individual clients
195reported
HNW clients
185reported
Pension plan clients
48reported
Charitable clients
n/areported
Accounts
1,568reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
John Michael VanceCertified Financial PlannerSanta Clarita, CaSep 22, 202028 y2
Jerrod James FergusonCertified Financial PlannerSanta Clarita, CaSep 22, 202017 y1
Carrisa FloresCertified Financial PlannerSanta Clarita, CaApr 10, 202310 y0
Zachary Oliver JohnsonSanta Clarita, CaApr 29, 202410 y0
Niall Brennan ShafferyCertified Financial PlannerSanta Clarita, CaJan 9, 202516 y0
Jason Paul LaneSanta Clarita, CaJan 10, 202514 y2
Christopher Robert PelchSanta Clarita, CaJan 15, 202513 y3
Tyler Steven TiltonCertified Financial PlannerSanta Clarita, CaJan 15, 202510 y2
Anthony Roy James GoringSanta Clarita, CaJan 22, 202513 y0
Bronson Stanley FeuerCertified Financial PlannerSanta Clarita, CaMar 18, 202511 y0
Lucas Joseph MendozaSanta Clarita, CaMar 27, 202610 y0
Calvin Dean HedmanSanta Clarita, CaJul 10, 202632 y2
Sierra Alessandra CappellaSanta Clarita, CaJul 14, 202617 y0
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Robert Christopher Pelch · Chief Compliance Officer And Chief Operating Officercontrol
      since 03/2021 · owns less than 5%
    • Michael John Vance · Presidentcontrol
      since 07/2020 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Santa Clarita, Ca · principal1330
    Offices
    Schedule D 1.F, the 25 largest
    • Newport Beach, CA1 employees
    • Pasadena, CA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,481 to 1,568
      Nov 18, 2025 to Mar 23, 2026
    • Advisory employees · 11 to 10
      Nov 18, 2025 to Mar 23, 2026
    • HNW clients · 163 to 185
      Nov 18, 2025 to Mar 23, 2026
    • Individual clients · 212 to 195
      Nov 18, 2025 to Mar 23, 2026
    • Pension plan clients · 47 to 48
      Nov 18, 2025 to Mar 23, 2026
    • Employees · 19 to 22
      Nov 18, 2025 to Mar 23, 2026
    • Financial planning clients · 251-500 to 101-250
      Nov 18, 2025 to Mar 23, 2026
    • State-registered IARs · 11 to 10
      Nov 18, 2025 to Mar 23, 2026
    • Other offices · 3 to 4
      Nov 18, 2025 to Mar 23, 2026
    • Discretionary RAUM · $648M to $785M
      Nov 18, 2025 to Mar 23, 2026
    • HNW RAUM · $514M to $637M
      Nov 18, 2025 to Mar 23, 2026
    • Individual RAUM · $104M to $120M
      Nov 18, 2025 to Mar 23, 2026
    • Non-discretionary RAUM · $88.2M to $109M
      Nov 18, 2025 to Mar 23, 2026
    • Pension RAUM · $117M to $135M
      Nov 18, 2025 to Mar 23, 2026
    • RAUM · $736M to $894M
      Nov 18, 2025 to Mar 23, 2026
    • State-registered IARs · 10 to 11
      Oct 29, 2024 to Feb 26, 2025
    • Accounts · 1,345 to 1,481
      Oct 29, 2024 to Feb 26, 2025
    • Advisory employees · 10 to 11
      Oct 29, 2024 to Feb 26, 2025
    • HNW clients · 157 to 163
      Oct 29, 2024 to Feb 26, 2025
    • Individual clients · 199 to 212
      Oct 29, 2024 to Feb 26, 2025
    • Pension plan clients · 46 to 47
      Oct 29, 2024 to Feb 26, 2025
    • Assets in custody · 280218042.0 to unset
      Oct 29, 2024 to Feb 26, 2025
    • Custody of client assets · true to false
      Oct 29, 2024 to Feb 26, 2025
    • Employees · 18 to 19
      Oct 29, 2024 to Feb 26, 2025
    • Financial planning clients · 251-500 to 251-500
      Oct 29, 2024 to Feb 26, 2025
    • Legal name · VANCE WEALTH, INC. to VANCE WEALTH, LLC
      Oct 29, 2024 to Feb 26, 2025
    • Other offices · 2 to 3
      Oct 29, 2024 to Feb 26, 2025
    • Organization form · Corporation to Limited Liability Company
      Oct 29, 2024 to Feb 26, 2025
    • Discretionary RAUM · $593M to $648M
      Oct 29, 2024 to Feb 26, 2025
    • HNW RAUM · $496M to $514M
      Oct 29, 2024 to Feb 26, 2025
    • Individual RAUM · $94.8M to $104M
      Oct 29, 2024 to Feb 26, 2025
    • Non-discretionary RAUM · $78.3M to $88.2M
      Oct 29, 2024 to Feb 26, 2025
    • Pension RAUM · $78.3M to $117M
      Oct 29, 2024 to Feb 26, 2025
    • RAUM · $671M to $736M
      Oct 29, 2024 to Feb 26, 2025
    • Accounts · 1,238 to 1,345
      Jul 28, 2023 to Mar 26, 2024
    • Advisory employees · 14 to 10
      Jul 28, 2023 to Mar 26, 2024
    • HNW clients · 141 to 157
      Jul 28, 2023 to Mar 26, 2024
    • Individual clients · 164 to 199
      Jul 28, 2023 to Mar 26, 2024
    • Pension plan clients · 42 to 46
      Jul 28, 2023 to Mar 26, 2024
    • Assets in custody · unset to 280218042.0
      Jul 28, 2023 to Mar 26, 2024
    Signals
    8 dated events
    • Joshua Dylan Mumper left Vance Wealth for Entrewealth (registered 2025-04-14)
      Apr 3, 2025 · Advisor changed firm · fact
    • Matthew Ross Rivera left Vance Wealth for Fidelity Personal And Workplace Advisors (registered 2025-03-07)
      Oct 18, 2024 · Advisor changed firm · fact
    • Vance Wealth reported RAUM $670.8M, up 49% from $448.7M (2023-07-28 to 2024-03-26)
      Mar 26, 2024 · RAUM change · derived
    • Jamil Moussa Abdullah left Vance Wealth for Falcon Wealth Planning, Inc. (registered 2022-09-12)
      Jul 27, 2022 · Advisor changed firm · fact
    • Vance Wealth reported RAUM $506.0M, up 42% from $356.0M (2021-03-24 to 2022-03-28)
      Mar 28, 2022 · RAUM change · derived
    • Robert Christopher Pelch (Chief Compliance Officer And Chief Operating Officer) appeared on Schedule A of Vance Wealth
      Mar 28, 2022 · Control person joined · fact
    • Anne Lisa Maloney (Chief Compliance Officer) no longer on Schedule A of Vance Wealth (listed 2020-12-24, absent 2021-03-24)
      Mar 24, 2021 · Control person left · inference
    • Vance Wealth filed its initial SEC registration (Form ADV)
      Aug 10, 2020 · 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
    888-775-8132reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    vancewealth.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    888-775-0950reportedpublic record, Form ADV, May 7, 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
    $68.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026