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
Hollencrest Capital Management
Legal name Hollencrest Capital Management, LLC
Latest filing Jun 12, 2026
First filing on the tape Mar 23, 2012 · 42 filings
SEC status approved since Oct 2, 1998
RAUM
$2.9B
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
86%
$2.5B individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$205M
derived; firm RAUM over IAPD count
Employees
19
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$2.9B as of Jun 12, 2026
Mar 23, 2012$854M then
HNW client RAUM$2.2B as of Jun 12, 2026
Mar 7, 2018$1.0B then
State-registered IARs (5.B.3)16 as of Jun 12, 2026
Jan 30, 201315 then
Employees (5.A)19 as of Jun 12, 2026
Jan 30, 201318 then
Private funds3 as of Jun 12, 2026
Mar 29, 20192 then
RAUM +7.5% over the last fiscal year+12% a year over threeIARs 15 to 16
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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $205MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.3MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 53%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 14.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +6.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.7%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $2.0B, 476 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.2B77%
- Individuals$256M8.9%
- Corporations and businesses$212M7.4%
- Charitable organizations$86.5M3.0%
- Pooled investment vehicles$75.8M2.6%
- Pension and profit-sharing plans$24.7M0.9%
- Individual clients
- 295reported
- HNW clients
- 166reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 1,347reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0B for 476 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.86 fund_share=0.03 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Peter Joseph Pellizzon | Newport Beach, Ca | May 20, 1999 | 38 y | 1 |
| Gregory Paul Pellizzon | Newport Beach, Ca | May 20, 1999 | 41 y | 1 |
| Robert Burr WolfordChartered Financial Consultant | Newport Beach, Ca | May 20, 1999 | 38 y | 1 |
| Dale Vaughn Sefarian | Newport Beach, Ca | May 20, 1999 | 42 y | 1 |
| Michelle Elizabeth Petersen | Newport Beach, Ca | Jun 29, 2015 | 12 y | 0 |
| James Konon | Newport Beach, Ca | Aug 18, 2016 | 33 y | 0 |
| Kelly Hong | Newport Beach, Ca | Nov 15, 2016 | 11 y | 0 |
| Cameron Curtis Akers | Newport Beach, Ca | Nov 21, 2016 | 18 y | 0 |
| Christopher Lee DuongChartered Financial Analyst | Newport Beach, Ca | Jan 18, 2017 | 18 y | 0 |
| Susan Marie NakamuraChartered Financial Analyst | Newport Beach, Ca | Jan 4, 2018 | 39 y | 0 |
| Kyle Edward Fincher | Newport Beach, Ca | Aug 22, 2022 | 10 y | 0 |
| Wesley William Schuler | Newport Beach, Ca | Aug 3, 2023 | 13 y | 2 |
| Edrie Pomperada DalisayCertified Financial Planner | Newport Beach, Ca | May 22, 2025 | 15 y | 0 |
| Rachel Jean Beier | Newport Beach, Ca | Dec 6, 2025 | 10 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount3 left over 36 months
Left, latest
- Zachary James Staggs to FartherJul 17, 2026 · RIA to RIA
- Sean Seung Lee to FartherJul 17, 2026 · RIA to RIA
- Shawn Kim to Manhattan West Asset Management, LLCAug 8, 2025 · RIA to RIA
- Michael Ashley Schulman to Running Point Capital Advisors LLCAug 6, 2019 · RIA to RIA
Joined, latest
- Wesley William Schuler from Pfg AdvisorsAug 3, 2023 · RIA to RIA
- Michael Ashley Schulman from Double Eagle PartnersSep 28, 2016 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Hcm Ip Venture, LP | Private Equity Fund | $46.3M | 44 | Mar 29, 2019 |
| Hollencrest Bayview Partners, LP | Private Equity Fund | $28.1M | 39 | Mar 27, 2012 |
| Hcm Venture I, LP | Venture Capital Fund | $1.4M | 27 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- Curtis Cameron Akers · Managing Director, Chief Investment Officer, Presidentcontrolsince 12/2018 · owns less than 5%
- Marie Susan Nakamura · Managing Director, Chief Compliance Officer, Director Portfolio Administrationcontrolsince 06/2026 · owns less than 5%
- Paul Gregory Pellizzon · Managing Director, Chief Executive Officercontrolsince 01/2000 · owns 25% to 50%
- Joseph Peter Pellizzon · Managing Director, Chief Operations Officer, Portfolio Managercontrolsince 09/1998 · owns 25% to 50%
- Burr Robert Wolford · Managing Director, Director Of Marketing, Portfolio Managercontrolsince 01/2000 · owns 25% to 50%
- Shawn Kim · Director, Senior Advisorsince 02/2021 · owns less than 5%
- James Konon · Vice President Of Operations, Aml Officer, Cisosince 07/2006 · owns less than 5%
Entity owners
- Hcm Class B Member, LLC · Vehicle For Employee Ownership Participation Of Hcmdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Hollencrest Insurance Services, Inc.real estaten
Advisers that list Hollencrest Capital Management as a related person
- 128563 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 14 | 1 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 12, 2026PELLIZZON, GREGORY, PAUL (MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2022-09-23 and 2026-06-12peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,296 to 1,347Nov 5, 2025 to Mar 30, 2026
- Corporate clients · 5 to 6Nov 5, 2025 to Mar 30, 2026
- HNW clients · 229 to 166Nov 5, 2025 to Mar 30, 2026
- Individual clients · 245 to 295Nov 5, 2025 to Mar 30, 2026
- Assets in custody · $1.8B to $2.0BNov 5, 2025 to Mar 30, 2026
- Financial planning clients · 51-100 to 26-50Nov 5, 2025 to Mar 30, 2026
- State-registered IARs · 15 to 16Nov 5, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.3B to $1.5BNov 5, 2025 to Mar 30, 2026
- HNW RAUM · $2.3B to $2.2BNov 5, 2025 to Mar 30, 2026
- Individual RAUM · $121M to $256MNov 5, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.4B to $1.4BNov 5, 2025 to Mar 30, 2026
- Pension RAUM · $12.7M to $24.7MNov 5, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $86.7M to $75.8MNov 5, 2025 to Mar 30, 2026
- RAUM · $2.7B to $2.9BNov 5, 2025 to Mar 30, 2026
- Financial planning clients · 51-100 to 51-100Mar 27, 2025 to Jul 10, 2025
- Accounts · 1,074 to 1,296Sep 4, 2024 to Mar 27, 2025
- Advisory employees · 18 to 19Sep 4, 2024 to Mar 27, 2025
- Charity clients · 6 to 7Sep 4, 2024 to Mar 27, 2025
- Corporate clients · unset to 5.0Sep 4, 2024 to Mar 27, 2025
- HNW clients · 217 to 229Sep 4, 2024 to Mar 27, 2025
- Individual clients · 225 to 245Sep 4, 2024 to Mar 27, 2025
- Assets in custody · $1.6B to $1.8BSep 4, 2024 to Mar 27, 2025
- Employees · 18 to 19Sep 4, 2024 to Mar 27, 2025
- State-registered IARs · 16 to 15Sep 4, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.1B to $1.3BSep 4, 2024 to Mar 27, 2025
- HNW RAUM · $2.1B to $2.3BSep 4, 2024 to Mar 27, 2025
- Individual RAUM · $84.4M to $121MSep 4, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $1.3B to $1.4BSep 4, 2024 to Mar 27, 2025
- Pension RAUM · $7.3M to $12.7MSep 4, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $74.4M to $86.7MSep 4, 2024 to Mar 27, 2025
- RAUM · $2.4B to $2.7BSep 4, 2024 to Mar 27, 2025
- Advisory employees · 19 to 18Jun 6, 2024 to Sep 4, 2024
- Employees · 19 to 18Jun 6, 2024 to Sep 4, 2024
- State-registered IARs · 17 to 16Jun 6, 2024 to Sep 4, 2024
- Accounts · 965 to 1,074Mar 31, 2023 to Mar 25, 2024
- Advisory employees · 16 to 19Mar 31, 2023 to Mar 25, 2024
- Charity clients · 5 to 6Mar 31, 2023 to Mar 25, 2024
- HNW clients · 204 to 217Mar 31, 2023 to Mar 25, 2024
- Individual clients · 185 to 225Mar 31, 2023 to Mar 25, 2024
- Assets in custody · $1.4B to $1.6BMar 31, 2023 to Mar 25, 2024
Signals
6 dated events
- Zachary James Staggs left Hollencrest Capital Management for Farther (registered 2026-06-24)Jul 17, 2026 · Advisor changed firm · fact
- Sean Seung Lee left Hollencrest Capital Management for Farther (registered 2026-06-24)Jul 17, 2026 · Advisor changed firm · fact
- 2 advisors left Hollencrest Capital Management (Newport Beach, CA) for Farther on the same dayJul 17, 2026 · Team lift-out · derived
- Shawn Kim left Hollencrest Capital Management for Manhattan West Asset Management, Llc (registered 2025-08-27)Aug 8, 2025 · Advisor changed firm · fact
- Hollencrest Capital Management reported RAUM $2.3B, up 28% from $1.8B (2021-04-06 to 2022-04-04)Apr 4, 2022 · RAUM change · derived
- Curtis Cameron Akers (Director, Chief Investment Officer) appeared on Schedule A of Hollencrest Capital ManagementMar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Hollencrest Capital Management · Independent Sponsorsshared crd · capital_provider
- Hollencrest Capital Management · Private Equityshared crd · organization
- Hollencrest Capital Management · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- clientcommunication@hollencrest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-838-8951reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 949-737-7700reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 949-737-7703reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/hollencrest-capital-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- HOLLENCREST.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 949-737-7700reportedpublic record, Form ADV, Jun 12, 2026
- Contact form
- hollencrest.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- hollencrest.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $205Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026