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Wealth Management Firms (RIAs) in Orange County

93 wealth management firms are on this list. Of those that report regulatory assets on Form ADV, Beacon Pointe Advisors is the largest: $54.9 billion through Beacon Pointe Advisors, LLC (filed ).

Index Fund Advisors follows with $5.9 billion. The 88 advisers counted report $110.9 billion together; the ten largest hold 74% of it, and half report less than $257 million.

Updated . Rechecked quarterly; next check . Figures read , as filed to .

Where the $110.9BN sitsThe 88 firms counted, by size. The bar is each size band's share of the combined dollars.
  1. $25BN and over49%1 firm
  2. $5BN to $10BN10%2 firms
  3. $1BN to $5BN23%14 firms
  4. $500MM to $1BN7%11 firms
  5. Under $500MM11%60 firms

Latest Form ADV of each, filed Dec 2025 to Oct 2026. Read ; sources at the end of the page.

Wealth management firms listedList of October 2026; 91 are wealth managers and 2 are wealth managers with a broker-dealer
93
Combined assets88 counted; as filed to Oct 2026
$110.9BN
Largest: Beacon Pointe AdvisorsAs filed
$54.9BN
Median firmHalf of the 88 report less
$257MM
Held by the ten largestOf the $110.9BN combined
74%

Beacon Pointe Advisors, Index Fund Advisors and First Foundation Advisors lead the Orange County wealth management firms by assets

The twenty largest by regulatory assets on their latest Form ADV. Together they report $93.4BN, 84% of the $110.9BN the 88 counted report.

  1. 1

    Beacon Pointe Advisors

    Wealth manager, Newport Beach, CA

    $54.9BNRegulatory assets, Aug 2026

    78% high net worth, 11% other individuals, 6% charities

    Individual clients
    29,565
    Private funds
    5
  2. 2

    Index Fund Advisors

    Wealth manager, Irvine, CA

    $5.9BNRegulatory assets, Mar 2026

    73% high net worth, 15% other individuals, 8% charities

    Individual clients
    2,095
  3. 3

    First Foundation Advisors

    Wealth manager, Irvine, CA

    $5.1BNRegulatory assets, Jul 2026

    69% high net worth, 10% banks, 7% businesses

    Individual clients
    1,053
  4. 4

    Trilogy Capital

    Wealth manager, Irvine, CA

    $3.2BNRegulatory assets, Jul 2026

    50% other individuals, 31% high net worth, 18% pension plans

    Individual clients
    8,058
  5. 5

    Hollencrest Capital Management

    Wealth manager, Newport Beach, CA

    $2.9BNRegulatory assets, Jun 2026

    77% high net worth, 9% other individuals, 7% businesses

    Individual clients
    461
    Private funds
    3
  6. 6

    Cooper McManus

    Wealth manager, Irvine, CA

    $2.9BNRegulatory assets, Sep 2026

    50% high net worth, 44% other individuals, 5% businesses

    Individual clients
    3,379
  7. 7

    Check Capital Management

    Wealth manager, Costa Mesa, CA

    $2.4BNRegulatory assets, Aug 2026

    94% high net worth, 4% businesses, 2% funds (1940 act)

    Individual clients
    1,192
  8. 8

    Financial Management Network

    Wealth manager, Mission Viejo, CA

    $2.1BNRegulatory assets, Dec 2025

    59% high net worth, 28% pension plans, 12% other individuals

    Individual clients
    1,379
  9. 9

    Benefit Financial Services Group

    Wealth manager, Irvine, CA

    $1.5BNRegulatory assets, Jun 2026

    78% high net worth, 13% other individuals, 3% government

    Individual clients
    861
  10. 10

    Compak Asset Management

    Wealth manager, Newport Beach, CA

    $1.5BNRegulatory assets, Mar 2026

    89% high net worth, 9% other individuals, 1% pension plans

    Individual clients
    1,734
  11. 11

    Apriem Advisors

    Wealth manager, Irvine, CA

    $1.5BNRegulatory assets, Jul 2026

    70% high net worth, 22% other individuals, 6% charities

    Individual clients
    1,060
  12. 12

    Eclectic Associates

    Wealth manager, Fullerton, CA

    $1.5BNRegulatory assets, Aug 2026

    76% high net worth, 22% other individuals, 1% charities

    Individual clients
    1,207
  13. 13

    Chatterton & Associates

    Wealth manager, Anaheim, CA

    $1.3BNRegulatory assets, Mar 2026

    66% high net worth, 34% other individuals

    Individual clients
    1,542
  14. 14

    Knightsbridge Wealth Management

    Wealth manager, Newport Beach, CA

    $1.1BNRegulatory assets, Sep 2026

    81% high net worth, 6% pension plans, 5% other individuals

    Individual clients
    517
    Private funds
    1
  15. 15

    Financial Advisors Network

    Wealth manager, Tustin, CA

    $1.1BNRegulatory assets, Mar 2026

    84% high net worth, 16% other individuals

    Individual clients
    816
  16. 16

    Spinnaker Investment Group

    Wealth manager, Newport Beach, CA

    $1.1BNRegulatory assets, Jun 2026

    70% high net worth, 17% other individuals, 8% pension plans

    Individual clients
    902
  17. 17

    Weaver Consulting Group

    Wealth manager, Huntington Beach, CA

    $1.0BNRegulatory assets, Sep 2026

    74% high net worth, 22% other individuals, 4% businesses

    Individual clients
    1,085
  18. 18

    Crane & Associates Wealth Management

    Wealth manager with a broker-dealer, Fullerton, CA

    $935MMRegulatory assets, Feb 2026

    64% high net worth, 21% pension plans, 14% other individuals

    Individual clients
    467
  19. 19

    The Wealth Collaborative

    Wealth manager, Corona Del Mar, CA

    $792MMRegulatory assets, Mar 2026

    95% high net worth, 4% other individuals

    Individual clients
    256
  20. 20

    KTF Investments

    Wealth manager, Seal Beach, CA

    $700MMRegulatory assets, Jul 2026

    95% high net worth, 5% other individuals

    Individual clients
    184

Regulatory assets each adviser reported in its latest Form ADV. Each pin opens the filing behind the figure; the ranking rule and sources are at the end of the page. Read .

One firm holds half of the assets

How the 88 firms counted spread by size: most are small, the dollars sit at the top.

Every firm on one scaleEach dot is one firm's regulatory assets in its latest filing. Every dot is one adviser. Dollar scale is logarithmic.
Assets of each of the 88 firms counted, log scaleEach dot is one adviser and links to its row. Beacon Pointe Advisors $54.9BN; Index Fund Advisors $5.9BN; First Foundation Advisors $5.1BN; median $257MM.$100MM$1BN$10BN$100BNBeacon Pointe Advisors: $54.9BNIndex Fund Advisors: $5.9BNFirst Foundation Advisors: $5.1BNTrilogy Capital: $3.2BNHollencrest Capital Management: $2.9BNCooper McManus: $2.9BNCheck Capital Management: $2.4BNFinancial Management Network: $2.1BNBenefit Financial Services Group: $1.5BNCompak Asset Management: $1.5BNApriem Advisors: $1.5BNEclectic Associates: $1.5BNChatterton & Associates: $1.3BNKnightsbridge Wealth Management: $1.1BNFinancial Advisors Network: $1.1BNSpinnaker Investment Group: $1.1BNWeaver Consulting Group: $1.0BNCrane & Associates Wealth Management: $935MMThe Wealth Collaborative: $792MMKTF Investments: $700MMTempus Wealth Planning: $699MMThree Arch Wealth Management: $662MMWestshore Wealth: $662MMPurus Wealth Management: $658MMSpectrum Asset Management: $657MMAsset Planning: $553MMPrudent Investors: $516MMDucere Wealth Management: $504MMLighthouse Financial Services: $473MMRBA Wealth Management: $452MMStephenson and Company: $447MMFlatrock Wealth Partners: $418MMTicino Wealth: $400MMYosemite Capital Management: $369MMThe Clark Group Asset Management: $344MMSecura Financial: $320MMAccelerate Retirement: $315MMSignature Resources Capital Management: $304MMKanani Advisory Group: $288MMChallenger Wealth Management: $276MMProsperity Wealth Planning: $269MMRetirementadvice | JKA: $267MMHarmony Point Wealth Advisors: $263MMNewport Wealth Advisors: $263MMAdvanced Financial Strategies: $252MMEhrlich Financial Group: $250MMTidecrest Wealth Management: $250MMTabr Capital Management: $241MMWalker Financial Advisors: $233MMSun Group Wealth Partners: $224MMWealth Teams Alliance: $224MMNoble Wealth Management: $223MMMarrick Wealth: $216MMFiligree Wealth Advisors: $209MMSeagull Lane Asset Management: $208MMMy Portfolio Guide: $201MMClearview Wealth Management: $179MMIvanoff Wealth Management: $174MMProsperity Road: $172MMRMR Capital Management: $171MMCatalyst Wealth Advisors: $167MMBoyer Financial Services: $167MMLaguna Wealth Advisors: $161MMRAI Wealth Management: $160MMCrosspoint Financial: $157MMStewardship Wealth Management Solutions: $153MMSidoxia Capital Management: $149MMProcore Advisors: $144MMUltra Advisory Group: $143MMLegacy PCG: $140MM21 West Wealth Management: $137MMCooke Wealth Management: $137MMCrystal Cove Asset Management: $135MMBanta Asset Management: $129MMOpus Private Wealth Group: $128MMMiller Financial Services: $127MMMile Wealth Management: $120MMTriad Investment Management: $120MMArk Wealth Advisors: $118MMInvestlinc Wealth Services: $116MMPariax Private Wealth Management: $115MMCS Tomasi Wealth Management: $110MMLockerman Financial Group: $110MMDove Investment Research and Management: $107MMClearview Investment Partners: $105MMSky Vision Wealth Management: $101MMSagent Wealth Management: $100MMHilpan Moxie Wealth Management: $100MMBeacon Pointe Advisors $54.9BNIndex Fund Advisors $5.9BNFirst Foundation Advisors $5.1BNMedian $257MMAssets of each of the 88 firms counted, log scaleEach dot is one adviser and links to its row. Beacon Pointe Advisors $54.9BN; Index Fund Advisors $5.9BN; First Foundation Advisors $5.1BN; median $257MM.$1BN$100BNBeacon Pointe Advisors $54.9BNMedian $257MM

One dot per firm counted; 5 firms with a main office outside Orange County, a second row for the same adviser or only fund assets left out. Read .

The 88 firms, by size
Under $500MM6011%$12.6BN
$500MM to $1BN117%$7.3BN
$1BN to $5BN1423%$25.1BN
$5BN to $10BN210%$11.0BN
$10BN to $25BN00%$0
$25BN and over149%$54.9BN

Assets each reported in its latest filing; shares are of the $110.9BN combined, one row per firm. Read .

49%

of the assets reported sits with one firm, Beacon Pointe Advisors. The five largest hold 65%; 71 of 88 report under $1 billion.

49%Largest15%Next 435%Other 83
Who the 93 are
  1. Wealth managers91
  2. Wealth managers with a broker-dealer2

Kind of each, from its Form ADV (Items 5.G and 6.A), October 2026.

Whose money it isShare of the 88 advisers' assets by type of client
  1. High net worth75%
  2. Other individuals15%
  3. Charities4%
  4. Pension plans2%
  5. Businesses1%
  6. Funds (1940 Act)1%

Client types each adviser reports with its assets, latest filing; sums of filed figures.

Leaders beyond the ranking

Figures the main ranking does not compare: the most individual clients, the most high net worth clients, most private funds.

The most individual clientsIndividuals each firm advises, high net worth and other, on its latest Form ADV (Item 5.D).
RankNameFigure
1Beacon Pointe Advisors29,565Aug 2026
2Trilogy Capital8,058Jul 2026
3Cooper McManus3,379Sep 2026
4Index Fund Advisors2,095Mar 2026
5Compak Asset Management1,734Mar 2026
6Chatterton & Associates1,542Mar 2026
7Financial Management Network1,379Dec 2025
8Eclectic Associates1,207Aug 2026

Counts of clients as filed; a client is an account holder the adviser counts, not a household.

The most high net worth clientsHigh net worth individuals each firm advises, on its latest Form ADV (Item 5.D).
RankNameFigure
1Beacon Pointe Advisors11,482Aug 2026
2Check Capital Management1,192Aug 2026
3Compak Asset Management1,155Mar 2026
4Index Fund Advisors909Mar 2026
5First Foundation Advisors623Jul 2026
6Cooper McManus546Sep 2026
7Trilogy Capital546Jul 2026
8Financial Management Network460Dec 2025

Counts of clients as filed; a client is an account holder the adviser counts, not a household.

Most private fundsPrivate funds each firm advises, on its latest Form ADV (Schedule D).
RankNameFigure
1Beacon Pointe Advisors5Aug 2026
2Hollencrest Capital Management3Jun 2026
3Knightsbridge Wealth Management1Sep 2026
4Sidoxia Capital Management1Jun 2026

The list is public. The warm path is not. Schedule a conversation

All 93 wealth management firms

A to Z, with each firm's regulatory assets, its clients, the share of its assets held for individuals and its private funds, each with a pin to its Form ADV.

Showing all 93 firms

Kind
Size
Order
Wealth Management Firms (RIAs) in Orange County 93 firms, A to Z
OfficeAssetsBarClientsIndividualsPrivate funds
21 West Wealth Management
Wealth manager, Tustin, CA.
Detail and sources for 21 West Wealth Management

Form ADV of 21 West Wealth Management LLC (CRD 304532), SEC registered adviser, filed , main office Tustin, CA: regulatory assets $137MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 35 individuals, 29 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$137MMJun 202635100%
Accelerate Retirement
Wealth manager, Aliso Viejo, CA.
Detail and sources for Accelerate Retirement

Form ADV of Accelerate Investment Advisors LLC (CRD 325859), SEC registered adviser, filed , main office Aliso Viejo, CA: regulatory assets $315MM; 40 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Accelerate Investment Advisors LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and educational seminars. Clients (Item 5.D): 482 individuals, 48 of them high net worth; individuals hold 82% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$315MMOct 20261,07682%
Advanced Financial Strategies
Wealth manager, Irvine, CA.
Detail and sources for Advanced Financial Strategies

Form ADV of Advanced Financial Strategies Inc. (CRD 108296), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $252MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and other services. Clients (Item 5.D): 137 individuals, 89 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$252MMMar 202614598%
Apriem Advisors
Wealth manager, Irvine, CA.
Detail and sources for Apriem Advisors

Form ADV of Apriem Advisors (CRD 108188), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $1.5BN; 17 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications and educational seminars. Clients (Item 5.D): 1,060 individuals, 345 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV.

$1.5BNJul 20261,07192%
Ark Wealth Advisors
Wealth manager, Yorba Linda, CA.
Detail and sources for Ark Wealth Advisors

Form ADV of Ark Wealth Advisors, LLC (CRD 309396), SEC registered adviser, filed , main office Yorba Linda, CA: regulatory assets $118MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 221 individuals, 49 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$118MMMar 2026221100%
Asset Planning
Wealth manager, Los Alamitos, CA.
Detail and sources for Asset Planning

Form ADV of Asset Planning, Inc. (CRD 111535), SEC registered adviser, filed , main office Los Alamitos, CA: regulatory assets $553MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: Asset Planning Corporation (CRD 126242), registered adviser, filed , W. Palm Beach, FL.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 373 individuals, 186 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$553MMJan 2026373100%
Banta Asset Management
Wealth manager, Newport Beach, CA.
Detail and sources for Banta Asset Management

Form ADV of Banta Asset Management LP (CRD 142987), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $129MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Banta Asset Management LP, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 117 individuals, 63 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$129MMFeb 202611799%
Beacon Pointe Advisors
Wealth manager, Newport Beach, CA.
Detail and sources for Beacon Pointe Advisors

Form ADV of Beacon Pointe Advisors, LLC (CRD 119290), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $54.9BN; 5 private funds, $110MM gross; 780 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of registered funds, management of private funds, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars and other services. Clients (Item 5.D): 29,565 individuals, 11,482 of them high net worth; individuals hold 90% of its regulatory assets.

Files: SEC Form ADV.

$54.9BNAug 202629,92990%5
Benefit Financial Services Group
Wealth manager, Irvine, CA.
Detail and sources for Benefit Financial Services Group

Form ADV of BFSG, LLC (CRD 143617), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $1.5BN; 31 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of BFSG, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars and other services. Clients (Item 5.D): 861 individuals, 325 of them high net worth; individuals hold 91% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.5BNJun 202688791%
Boyer Financial Services
Wealth manager, Newport Beach, CA.
Detail and sources for Boyer Financial Services

Form ADV of Boyer Financial Services, Inc. (CRD 331868), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $167MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 226 individuals, 66 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$167MMMar 202622697%
BW & Associates
Wealth manager, Orange, CA. Main office Orange, CA; not in the totals.
Detail and sources for BW & Associates

Form ADV of Bonnie Wusz & Associates, Inc. (CRD 116471), SEC registered adviser, filed , main office Orange, CA: regulatory assets $693MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Orange, CA; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 529 individuals, 156 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$693MMSep 2026529100%
Catalyst Wealth Advisors
Wealth manager, Newport Beach, CA.
Detail and sources for Catalyst Wealth Advisors

Form ADV of Catalyst Wealth Advisors LLC (CRD 297503), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $167MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 31 individuals, 18 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$167MMMar 20263194%
Challenger Wealth Management
Wealth manager, Aliso Viejo, CA.
Detail and sources for Challenger Wealth Management

Form ADV of Challenger Wealth Management (CRD 121498), SEC registered adviser, filed , main office Aliso Viejo, CA: regulatory assets $276MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Challenger Wealth Management, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 238 individuals, 89 of them high net worth; individuals hold 89% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$276MMMar 202626389%
Chatterton & Associates
Wealth manager, Anaheim, CA.
Detail and sources for Chatterton & Associates

Form ADV of Chatterton & Associates, the Wealth Management Team, Inc. (CRD 132295), SEC registered adviser, filed , main office Anaheim, CA: regulatory assets $1.3BN; 31 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers, publications and educational seminars. Clients (Item 5.D): 1,542 individuals, 397 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$1.3BNMar 20261,542100%
Check Capital Management
Wealth manager, Costa Mesa, CA.
Detail and sources for Check Capital Management

Form ADV of Check Capital Management Inc. (CRD 107058), SEC registered adviser, filed , main office Costa Mesa, CA: regulatory assets $2.4BN; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR/A of Check Capital Management Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and management of registered funds. Clients (Item 5.D): 1,192 individuals, 1,192 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$2.4BNAug 20261,22394%
The Clark Group Asset Management
Wealth manager, Dana Point, CA.
Detail and sources for The Clark Group Asset Management

Form ADV of Pachira Investments, Inc. (CRD 164405), SEC registered adviser, filed , main office Dana Point, CA: regulatory assets $344MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and other services. Clients (Item 5.D): 458 individuals, 174 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$344MMMar 202646999%
Clay Northam Wealth Management
Wealth manager, Huntington Beach, CA. Main office Huntington Beach, CA; not in the totals.
Detail and sources for Clay Northam Wealth Management

Form ADV of Clay Northam Wealth Management, LLC (CRD 159002), SEC registered adviser, filed , main office Huntington Beach, CA: regulatory assets $355MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Huntington Beach, CA; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 420 individuals, 109 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$355MMMay 2026420100%
Clearview Investment Partners
Wealth manager, Costa Mesa, CA.
Detail and sources for Clearview Investment Partners

Form ADV of Clearview Investment Partners, LLC (CRD 150046), SEC registered adviser, filed , main office Costa Mesa, CA: regulatory assets $105MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 133 individuals, 55 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$105MMMar 2026134100%
Clearview Wealth Management
Wealth manager, Irvine, CA.
Detail and sources for Clearview Wealth Management

Form ADV of Clearview Wealth Management, LLC (CRD 288978), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $179MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: Sherclar, Inc. (CRD 166812), registered adviser, filed , Charlotte, NC.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 339 individuals, 95 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV.

$179MMJun 202638692%
Compak Asset Management
Wealth manager, Newport Beach, CA.
Detail and sources for Compak Asset Management

Form ADV of Compak Asset Management (CRD 109930), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $1.5BN; 20 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and educational seminars. Clients (Item 5.D): 1,734 individuals, 1,155 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$1.5BNMar 20261,75198%
Cooke Wealth Management
Wealth manager, Irvine, CA.
Detail and sources for Cooke Wealth Management

Form ADV of Cooke Wealth Management, LLC (CRD 127309), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $137MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Cooke Wealth Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 114 individuals, 44 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$137MMFeb 202611496%
Cooper McManus
Wealth manager, Irvine, CA.
Detail and sources for Cooper McManus

Form ADV of Cooper Financial Group (CRD 111458), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $2.9BN; 53 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Cooper Financial Group, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications and educational seminars. Clients (Item 5.D): 3,379 individuals, 546 of them high net worth; individuals hold 93% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$2.9BNSep 20263,48293%
Crane & Associates Wealth Management
Wealth manager with a broker-dealer, Fullerton, CA.
Detail and sources for Crane & Associates Wealth Management

Form ADV of Crane Advisory LLC (CRD 314432), SEC registered adviser, filed , main office Fullerton, CA: regulatory assets $935MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Crane Advisory LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 467 individuals, 248 of them high net worth; individuals hold 79% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV, SEC Form 13F.

$935MMFeb 202646879%
Crosspoint Financial
Wealth manager, Tustin, CA.
Detail and sources for Crosspoint Financial

Form ADV of Crosspoint Financial, LLC (CRD 286443), SEC registered adviser, filed , main office Tustin, CA: regulatory assets $157MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 282 individuals, 117 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$157MMMar 2026282100%
Crystal Cove Asset Management
Wealth manager, Newport Beach, CA.
Detail and sources for Crystal Cove Asset Management

Form ADV of Crystal Cove Asset Management, LLC (CRD 289810), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $135MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 82 individuals, 35 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV.

$135MMMar 20269192%
CS Tomasi Wealth Management
Wealth manager, Costa Mesa, CA.
Detail and sources for CS Tomasi Wealth Management

Form ADV of CS Tomasi Wealth Management (CRD 287561), SEC registered adviser, filed , main office Costa Mesa, CA: regulatory assets $110MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 84 individuals, 32 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$110MMAug 202684100%
Dove Investment Research and Management
Wealth manager, Irvine, CA.
Detail and sources for Dove Investment Research and Management

Form ADV of Dove Investment Research and Management, Inc. (CRD 300058), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $107MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 175 individuals, 94 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV.

$107MMMar 202617595%
Ducere Wealth Management
Wealth manager, Newport Beach, CA.
Detail and sources for Ducere Wealth Management

Form ADV of Ducere Wealth Management, LLC (CRD 337471), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $504MM; 11 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 128 individuals, 52 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$504MMSep 202612897%
Eclectic Associates
Wealth manager, Fullerton, CA.
Detail and sources for Eclectic Associates

Form ADV of Eclectic Associates, Inc. (CRD 111041), SEC registered adviser, filed , main office Fullerton, CA: regulatory assets $1.5BN; 17 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Eclectic Associates, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 1,207 individuals, 410 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.5BNAug 20261,22298%
Ehrlich Financial Group
Wealth manager, Laguna Niguel, CA.
Detail and sources for Ehrlich Financial Group

Form ADV of The Ehrlich Group LLC (CRD 325595), SEC registered adviser, filed , main office Laguna Niguel, CA: regulatory assets $250MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 207 individuals, 82 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$250MMJan 2026207100%
Filigree Wealth Advisors
Wealth manager, Irvine, CA.
Detail and sources for Filigree Wealth Advisors

Form ADV of Filigree Wealth Advisors, LLC (CRD 318729), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $209MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 45 individuals, 27 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$209MMMar 202645100%
Financial Advisors Network
Wealth manager, Tustin, CA.
Detail and sources for Financial Advisors Network

Form ADV of Financial Advisors Network, Inc. (CRD 152083), SEC registered adviser, filed , main office Tustin, CA: regulatory assets $1.1BN; 22 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Financial Advisors Network, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, educational seminars and other services. Clients (Item 5.D): 816 individuals, 328 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.1BNMar 2026823100%
Financial Management Network
Wealth manager, Mission Viejo, CA.
Detail and sources for Financial Management Network

Form ADV of Financial Management Network Inc. (CRD 110454), SEC registered adviser, filed , main office Mission Viejo, CA: regulatory assets $2.1BN; 50 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 1,379 individuals, 460 of them high net worth; individuals hold 71% of its regulatory assets.

Files: SEC Form ADV.

$2.1BNDec 20251,52871%
First Foundation Advisors
Wealth manager, Irvine, CA.
Detail and sources for First Foundation Advisors

Form ADV of First Foundation Advisors (CRD 106075), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $5.1BN; 57 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of First Foundation Advisors, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of registered funds, pension consulting and selection of other advisers. Clients (Item 5.D): 1,053 individuals, 623 of them high net worth; individuals hold 74% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$5.1BNJul 20261,31674%
Flatrock Wealth Partners
Wealth manager, Newport Beach, CA.
Detail and sources for Flatrock Wealth Partners

Form ADV of Flatrock Wealth Partners LLC (CRD 321777), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $418MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 73 individuals, 73 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$418MMJun 202673100%
Harmony Point Wealth Advisors
Wealth manager, Irvine, CA.
Detail and sources for Harmony Point Wealth Advisors

Form ADV of Harmony Point Wealth Advisors, Inc. (CRD 323643), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $263MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and educational seminars. Clients (Item 5.D): 272 individuals, 66 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$263MMMar 2026272100%
Hilpan Moxie Wealth Management
Wealth manager, Irvine, CA.
Detail and sources for Hilpan Moxie Wealth Management

Form ADV of Hilpan Moxie Wealth Management, LLC (CRD 159966), SEC registered adviser, filed : regulatory assets $100MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 78 individuals, 34 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$100MMAug 202678100%
Hollencrest Capital Management
Wealth manager, Newport Beach, CA.
Detail and sources for Hollencrest Capital Management

Form ADV of Hollencrest Capital Management, LLC (CRD 46217), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $2.9BN; 3 private funds, $76MM gross; 19 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Hollencrest Capital Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, selection of other advisers and other services. Clients (Item 5.D): 461 individuals, 166 of them high net worth; individuals hold 86% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$2.9BNJun 202647786%3
Index Fund Advisors
Wealth manager, Irvine, CA.
Detail and sources for Index Fund Advisors

Form ADV of Index Fund Advisors, Inc. (CRD 109143), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $5.9BN; 50 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Index Fund Advisors, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications and educational seminars. Clients (Item 5.D): 2,095 individuals, 909 of them high net worth; individuals hold 88% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$5.9BNMar 20262,15988%
Investlinc Wealth Services
Wealth manager, Brea, CA.
Detail and sources for Investlinc Wealth Services

Form ADV of Investlinc Wealth Services, LLC (CRD 332607), SEC registered adviser, filed , main office Brea, CA: regulatory assets $116MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 145 individuals, 38 of them high net worth; individuals hold 91% of its regulatory assets.

Files: SEC Form ADV.

$116MMOct 202615391%
Ivanoff Wealth Management
Wealth manager, Cypress, CA.
Detail and sources for Ivanoff Wealth Management

Form ADV of Ivanoff Wealth Management Inc. (CRD 325275), SEC registered adviser, filed , main office Cypress, CA: regulatory assets $174MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 618 individuals, 15 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$174MMSep 2026618100%
Kanani Advisory Group
Wealth manager, Irvine, CA.
Detail and sources for Kanani Advisory Group

Form ADV of Kanani Advisory Group Inc. (CRD 288314), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $288MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, selection of other advisers and educational seminars. Clients (Item 5.D): 589 individuals, 56 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$288MMApr 202659898%
Knightsbridge Wealth Management
Wealth manager, Newport Beach, CA.
Detail and sources for Knightsbridge Wealth Management

Form ADV of Knightsbridge Asset Management LLC (CRD 110347), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $1.1BN; 1 private fund, $31MM gross; 19 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 517 individuals, 333 of them high net worth; individuals hold 86% of its regulatory assets.

Files: SEC Form ADV.

$1.1BNSep 202654686%1
KTF Investments
Wealth manager, Seal Beach, CA.
Detail and sources for KTF Investments

Form ADV of KTF Investments, LLC (CRD 337465), SEC registered adviser, filed , main office Seal Beach, CA: regulatory assets $700MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 184 individuals, 109 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$700MMJul 2026184100%
Laguna Wealth Advisors
Wealth manager, Dana Point, CA.
Detail and sources for Laguna Wealth Advisors

Form ADV of Laguna Wealth Advisors, LLC (CRD 167847), SEC registered adviser, filed : regulatory assets $161MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 288 individuals, 46 of them high net worth; individuals hold 96% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$161MMJul 202629996%
Legacy PCG
Wealth manager, Newport, CA.
Detail and sources for Legacy PCG

Form ADV of Legacy PCG, LLC (CRD 283909), SEC registered adviser, filed , main office Newport, CA: regulatory assets $140MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Legacy PCG, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 71 individuals, 33 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$140MMMar 20267194%
Lighthouse Financial Services
Wealth manager, Brea, CA.
Detail and sources for Lighthouse Financial Services

Form ADV of Lighthouse Financial Services Inc. (CRD 110367), SEC registered adviser, filed , main office Brea, CA: regulatory assets $473MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and educational seminars. Clients (Item 5.D): 458 individuals, 159 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$473MMJan 202646198%
Lockerman Financial Group
Wealth manager, Newport Beach, CA.
Detail and sources for Lockerman Financial Group

Form ADV of Lockerman Financial Group, Inc. (CRD 316860), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $110MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Lockerman Financial Group, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 69 individuals, 35 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$110MMJan 202669100%
Marrick Wealth
Wealth manager, Irvine, CA.
Detail and sources for Marrick Wealth

Form ADV of Marrick Wealth, LLC (CRD 164758), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $216MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and educational seminars. Clients (Item 5.D): 89 individuals, 83 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$216MMMay 20268998%
Mile Wealth Management
Wealth manager, Irvine, CA.
Detail and sources for Mile Wealth Management

Form ADV of Mile Wealth Management LLC (CRD 288519), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $120MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 63 individuals, 34 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$120MMMar 202663100%
Miller Financial Services
Wealth manager, San Juan Capistrano, CA.
Detail and sources for Miller Financial Services

Form ADV of Miller Financial Services, Inc. (CRD 339220), SEC registered adviser, filed , main office San Juan Capistrano, CA: regulatory assets $127MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: Miller Financial Services LLC (CRD 143788), registered adviser, filed , Marshall, MI.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 200 individuals, 0 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$127MMSep 2026200100%
My Portfolio Guide
Wealth manager, Seal Beach, CA.
Detail and sources for My Portfolio Guide

Form ADV of My Portfolio Guide, LLC (CRD 153188), SEC registered adviser, filed , main office Seal Beach, CA: regulatory assets $201MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, publications and educational seminars. Clients (Item 5.D): 315 individuals, 125 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$201MMFeb 2026318100%
Newport Wealth Advisors
Wealth manager with a broker-dealer, Newport Beach, CA.
Detail and sources for Newport Wealth Advisors

Form ADV of Newport Wealth Advisors, Inc. (CRD 137159), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $263MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and educational seminars. Clients (Item 5.D): 1,193 individuals, 60 of them high net worth; individuals hold 100% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$263MMApr 20261,193100%
Noble Wealth Management
Wealth manager, Newport Beach, CA.
Detail and sources for Noble Wealth Management

Form ADV of Noble Wealth Management, Inc. (CRD 169963), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $223MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 232 individuals, 35 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$223MMMar 2026233100%
Opus Private Wealth Group
Wealth manager, Orange, CA.
Detail and sources for Opus Private Wealth Group

Form ADV of Opus Private Wealth Group, LLC (CRD 171317), SEC registered adviser, filed , main office Orange, CA: regulatory assets $128MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 142 individuals, 35 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$128MMFeb 2026142100%
Pariax Private Wealth Management
Wealth manager, Newport Beach, CA.
Detail and sources for Pariax Private Wealth Management

Form ADV of Pariax, LLC (CRD 301474), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $115MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 32 individuals, 27 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$115MMMar 20263299%
Prattes Wealth Partners
Wealth manager, Newport Beach, CA. Main office Newport Beach, CA; not in the totals.
Detail and sources for Prattes Wealth Partners

Form ADV of Jason A Prattes Financial Inc. (CRD 298746), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $244MM; 5 private funds, $20MM gross; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Newport Beach, CA; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 91 individuals, 42 of them high net worth; individuals hold 65% of its regulatory assets.

Files: SEC Form ADV.

$244MMApr 202610565%5
Procore Advisors
Wealth manager, Newport Beach, CA.
Detail and sources for Procore Advisors

Form ADV of Procore Advisors, LLC (CRD 289037), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $144MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Procore Advisors, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 224 individuals, 30 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$144MMJul 202623192%
Prosperity Road
Wealth manager, Santa Ana, CA.
Detail and sources for Prosperity Road

Form ADV of Prosperity Road, LLC (CRD 281894), SEC registered adviser, filed , main office Santa Ana, CA: regulatory assets $172MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 64 individuals, 25 of them high net worth; individuals hold 73% of its regulatory assets.

Files: SEC Form ADV.

$172MMMar 20266973%
Prosperity Wealth Planning
Wealth manager, Irvine, CA.
Detail and sources for Prosperity Wealth Planning

Form ADV of Prosperity Wealth Planning LLC (CRD 315163), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $269MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and educational seminars. Clients (Item 5.D): 172 individuals, 111 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$269MMAug 2026173100%
Prudent Investors
Wealth manager, Lake Forest, CA.
Detail and sources for Prudent Investors

Form ADV of Prudent Investors Network, Inc. (CRD 127284), SEC registered adviser, filed , main office Lake Forest, CA: regulatory assets $516MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Prudent Investors Network, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, publications, educational seminars and other services. Clients (Item 5.D): 670 individuals, 156 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$516MMApr 2026670100%
Purus Wealth Management
Wealth manager, Newport Beach, CA.
Detail and sources for Purus Wealth Management

Form ADV of Purus Wealth Management, LLC (CRD 174490), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $658MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Purus Wealth Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and educational seminars. Clients (Item 5.D): 635 individuals, 96 of them high net worth; individuals hold 68% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$658MMMar 202664268%
RAI Wealth Management
Wealth manager, Placentia, CA.
Detail and sources for RAI Wealth Management

Form ADV of Richey Advisors, Inc. (CRD 277137), SEC registered adviser, filed , main office Placentia, CA: regulatory assets $160MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 247 individuals, 37 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$160MMSep 202624798%
RBA Wealth Management
Wealth manager, Newport Beach, CA.
Detail and sources for RBA Wealth Management

Form ADV of RBA Wealth Management, LLC (CRD 291029), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $452MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of RBA Wealth Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 421 individuals, 125 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$452MMMar 202642695%
Retirementadvice | JKA
Wealth manager, Anaheim, CA.
Detail and sources for Retirementadvice | JKA

Form ADV of Retirementadvice | JKA (CRD 153803), SEC registered adviser, filed , main office Anaheim, CA: regulatory assets $267MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 250 individuals, 55 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$267MMMar 202625699%
RMR Capital Management
Wealth manager, Tustin, CA.
Detail and sources for RMR Capital Management

Form ADV of RMR Capital Management LLC (CRD 285334), SEC registered adviser, filed , main office Tustin, CA: regulatory assets $171MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 72 individuals, 45 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$171MMFeb 202672100%
RS Crum Inc.
Wealth manager, Newport Beach, CA. Main office Newport Beach, CA; not in the totals.
Detail and sources for RS Crum Inc.

Form ADV of R. S. Crum, Inc. (CRD 158621), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $721MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Newport Beach, CA; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 328 individuals, 186 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$721MMSep 2026332100%
Sagent Wealth Management
Wealth manager, Laguna Beach, CA.
Detail and sources for Sagent Wealth Management

Form ADV of Sagent Wealth Management (CRD 147890), SEC registered adviser, filed , main office Laguna Beach, CA: regulatory assets $100MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 82 individuals, 42 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$100MMJul 202682100%
Seagull Lane Asset Management
Wealth manager, Huntington Beach, CA.
Detail and sources for Seagull Lane Asset Management

Form ADV of Seagull Lane Asset Management LLC (CRD 282566), SEC registered adviser, filed , main office Huntington Beach, CA: regulatory assets $208MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and other services. Clients (Item 5.D): 350 individuals, 45 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$208MMSep 2026350100%
Secura Financial
Wealth manager, Orange, CA.
Detail and sources for Secura Financial

Form ADV of Secura Financial, LLC (CRD 137324), SEC registered adviser, filed , main office Orange, CA: regulatory assets $320MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 673 individuals, 428 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$320MMJul 202668199%
Sidoxia Capital Management
Wealth manager, Newport Beach, CA.
Detail and sources for Sidoxia Capital Management

Form ADV of Sidoxia Capital Management, LLC (CRD 145969), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $149MM; 1 private fund, $942K gross; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and other services. Clients (Item 5.D): 105 individuals, 45 of them high net worth; individuals hold 84% of its regulatory assets.

Files: SEC Form ADV.

$149MMJun 202610884%1
Signature Resources Capital Management
Wealth manager, Newport Beach, CA.
Detail and sources for Signature Resources Capital Management

Form ADV of Signature Resources Capital Management, LLC (CRD 144069), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $304MM; 15 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 366 individuals, 90 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$304MMMar 202637894%
Sky Vision Wealth Management
Wealth manager, Irvine, CA.
Detail and sources for Sky Vision Wealth Management

Form ADV of Sky Vision Wealth Management Corp. (CRD 317320), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $101MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 82 individuals, 12 of them high net worth; individuals hold 84% of its regulatory assets.

Files: SEC Form ADV.

$101MMSep 20268684%
Spectrum Asset Management
Wealth manager, Newport Beach, CA.
Detail and sources for Spectrum Asset Management

Form ADV of Spectrum Asset Management Inc. (CRD 111007), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $657MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Spectrum Asset Management Inc., quarter ended , filed .

Possible match by name only, not counted: Spectrum Asset Management, Inc. (CRD 300463), registered adviser, filed , Stamford, CT.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications and other services. Clients (Item 5.D): 306 individuals, 126 of them high net worth; individuals hold 87% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$657MMMar 202631587%
Spinnaker Investment Group
Wealth manager, Newport Beach, CA.
Detail and sources for Spinnaker Investment Group

Form ADV of Spinnaker Investment Group, LLC (CRD 283414), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $1.1BN; 11 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 902 individuals, 259 of them high net worth; individuals hold 87% of its regulatory assets.

Files: SEC Form ADV.

$1.1BNJun 20261,02587%
Stephenson and Company
Wealth manager, San Clemente, CA.
Detail and sources for Stephenson and Company

Form ADV of Stephenson and Company, Inc. (CRD 111453), SEC registered adviser, filed , main office San Clemente, CA: regulatory assets $447MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Stephenson and Company, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 265 individuals, 132 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$447MMMar 202626599%
Stewardship Wealth Management Solutions
Wealth manager, Huntington Beach, CA.
Detail and sources for Stewardship Wealth Management Solutions

Form ADV of Tme Financial, Inc. (CRD 322851), SEC registered adviser, filed , main office Huntington Beach, CA: regulatory assets $153MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 204 individuals, 45 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$153MMMar 202620997%
Sun Group Wealth Partners
Wealth manager, Irvine, CA.
Detail and sources for Sun Group Wealth Partners

Form ADV of Sun Group Wealth Partners LLC (CRD 166372), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $224MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications and educational seminars. Clients (Item 5.D): 341 individuals, 153 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$224MMMay 202635394%
Tabr Capital Management
Wealth manager, Orange, CA.
Detail and sources for Tabr Capital Management

Form ADV of Tabr Capital Management, LLC (CRD 129959), SEC registered adviser, filed , main office Orange, CA: regulatory assets $241MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Tabr Capital Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 223 individuals, 90 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$241MMMar 202623598%
Tempus Wealth Planning
Wealth manager, Irvine, CA.
Detail and sources for Tempus Wealth Planning

Form ADV of Tempus Wealth Planning, LLC (CRD 285349), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $699MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 683 individuals, 282 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$699MMMar 202668396%
Three Arch Wealth Management
Wealth manager, Irvine, CA.
Detail and sources for Three Arch Wealth Management

Form ADV of Three Arch Wealth Management LLC (CRD 333733), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $662MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 256 individuals, 118 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$662MMAug 202625698%
Ticino Wealth
Wealth manager, Mission Viejo, CA.
Detail and sources for Ticino Wealth

Form ADV of Ticino Wealth LLC (CRD 335808), SEC registered adviser, filed , main office Mission Viejo, CA: regulatory assets $400MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Ticino Wealth LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 296 individuals, 119 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$400MMJun 2026296100%
Tidecrest Wealth Management
Wealth manager, Newport Beach, CA.
Detail and sources for Tidecrest Wealth Management

Form ADV of Tidecrest Wealth Management, LLC (CRD 332422), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $250MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 84 individuals, 68 of them high net worth; individuals hold 80% of its regulatory assets.

Files: SEC Form ADV.

$250MMMar 202610180%
Triad Investment Management
Wealth manager, Newport Beach, CA.
Detail and sources for Triad Investment Management

Form ADV of Triad Investment Management, LLC (CRD 146786), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $120MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Triad Investment Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 40 individuals, 25 of them high net worth; individuals hold 90% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$120MMSep 20264590%
Trilogy Capital
Wealth manager, Irvine, CA.
Detail and sources for Trilogy Capital

Form ADV of Trilogy Capital, Inc. (CRD 281597), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $3.2BN; 74 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Trilogy Capital, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 8,058 individuals, 546 of them high net worth; individuals hold 81% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$3.2BNJul 20268,38881%
Ultra Advisory Group
Wealth manager, Irvine, CA.
Detail and sources for Ultra Advisory Group

Form ADV of Ultra Advisory Group LLC (CRD 338775), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $143MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 73 individuals, 35 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$143MMAug 20267599%
Walker Financial Advisors
Wealth manager, Mission Viejo, CA.
Detail and sources for Walker Financial Advisors

Form ADV of Walker Financial Advisors, Inc. Dba California 457 Benefits (CRD 106268), SEC registered adviser, filed , main office Mission Viejo, CA: regulatory assets $233MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and publications. Clients (Item 5.D): 178 individuals, 57 of them high net worth; individuals hold 86% of its regulatory assets.

Files: SEC Form ADV.

$233MMMar 202617886%
Warren Street Wealth Advisors
Wealth manager, Irvine, CA. Main office Irvine, CA; not in the totals.
Detail and sources for Warren Street Wealth Advisors

Form ADV of Warren Street Wealth Advisors, LLC (CRD 173447), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $656MM; 10 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Irvine, CA; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of registered funds, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 449 individuals, 166 of them high net worth; individuals hold 84% of its regulatory assets.

Files: SEC Form ADV.

$656MMMar 202646184%
The Wealth Collaborative
Wealth manager, Corona Del Mar, CA.
Detail and sources for The Wealth Collaborative

Form ADV of The Wealth Collaborative, Inc. (CRD 142618), SEC registered adviser, filed , main office Corona Del Mar, CA: regulatory assets $792MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 256 individuals, 153 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$792MMMar 2026256100%
Wealth Teams Alliance
Wealth manager, Irvine, CA.
Detail and sources for Wealth Teams Alliance

Form ADV of Wealth Teams Alliance Inc. (CRD 168907), SEC registered adviser, filed , main office Irvine, CA: regulatory assets $224MM; 27 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, publications, educational seminars and other services. Clients (Item 5.D): 812 individuals, 52 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$224MMSep 202681297%
Weaver Consulting Group
Wealth manager, Huntington Beach, CA.
Detail and sources for Weaver Consulting Group

Form ADV of Weaver Consulting Group, LLC (CRD 287895), SEC registered adviser, filed , main office Huntington Beach, CA: regulatory assets $1.0BN; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 1,085 individuals, 376 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$1.0BNSep 20261,11496%
Westshore Wealth
Wealth manager, Newport Beach, CA.
Detail and sources for Westshore Wealth

Form ADV of Westshore Wealth, LLC (CRD 283843), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $662MM; 10 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Westshore Wealth, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 190 individuals, 172 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$662MMMar 202620798%
Yosemite Capital Management
Wealth manager, Newport Beach, CA.
Detail and sources for Yosemite Capital Management

Form ADV of Yosemite Capital Management, LLC (CRD 124298), SEC registered adviser, filed , main office Newport Beach, CA: regulatory assets $369MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and educational seminars. Clients (Item 5.D): 266 individuals, 84 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV.

$369MMMar 202628392%

Assets are the regulatory assets in the adviser's latest Form ADV (Item 5.F; solid bar). Clients are every client it counts (Item 5.D); Individuals is the share of its assets held for individuals, high net worth and other; private funds are the funds it advises (Item 7.B). Each pin opens the filing behind the figure. The square beside a name opens every figure with its filing and notes.

One firm holds half of the money

Four findings from the filings of the 88 firms counted.

  1. 49%

    of the $110.9 billion the 88 firms counted report is one firm's: Beacon Pointe Advisors. Without it, the other 87 report $56.0 billion.

    Assets, latest Form ADV of each; sums of filed figures

  2. $257MM

    is the median: half of the 88 report less, and 71 report under $1 billion.

    Assets, latest Form ADV of each

  3. 10

    private funds are advised by the firms counted; Beacon Pointe Advisors advises the most, 5.

    Private funds on each Form ADV (Schedule D); sums of filed figures

  4. 75%

    of their assets is high net worth money; the next largest client type is other individuals, at 15%.

    Client types each adviser reports with its assets; sums of filed figures

Questions

How many wealth management firms are there in Orange County?

This list holds 93 wealth management firms in the Orange County metro; 88 of them report regulatory assets on Form ADV, $110.9 billion together.

What are the largest wealth management firms in Orange County?

By the regulatory assets they report: Beacon Pointe Advisors $54.9 billion, Index Fund Advisors $5.9 billion, First Foundation Advisors $5.1 billion, Trilogy Capital $3.2 billion, Hollencrest Capital Management $2.9 billion.

How much do wealth management firms in Orange County typically manage?

Of the 88 that report, the median reports $257 million in regulatory assets; 71 report under $1 billion.

How do you start a relationship with wealth management firms in Orange County?

Each figure on this page carries a pin that opens the firm's Form ADV, which names its services, its clients and how to reach it. For fund managers and companies raising capital, Praxis Rock runs capital formation programs; see Raise Capital.

Sources and method

Who is listed
93 wealth management firms, 91 are wealth managers and 2 are wealth managers with a broker-dealer. Every SEC registered adviser with a main office in Anaheim-Santa Ana-Irvine, CA metropolitan division (Census division 11244: Orange County; Los Angeles County is its own page) that reports $100 million or more in regulatory assets, half or more of them for individuals, less the firms our other lists carry as another kind.
Ranking rule
The top 20, every total, share and median, the charts and the answers to the questions use one set: the 88 advisers that report regulatory assets in their latest SEC Form ADV, with a main office in the Orange County metro, that the filing itself ties to the row (the CRD the list cites, or the row's own website in Item 1.I), one figure per adviser. A name match with no such tie is shown in the row's detail only, never ranked or counted.
Our arithmetic
The $110.9BN, the median, shares, charts and boards are sums and medians of filed numbers over that one set; 5 firms with a figure outside it stay listed with the figure and the reason.
Pins
Each figure's pin opens the filing it comes from: the adviser's Form ADV as filed, or the SEC filing index of its latest 13F report. The pin's label names the source and its date.
What we searched
On we read every firm's latest Form ADV in the SEC monthly file by its CRD and searched 13F reports by the CIK on its Form ADV record. Of the 93, 93 report on a current Form ADV and 26 file 13F reports.
Words
Each firm's kind is read from its Form ADV: a wealth manager advises individuals and offers financial planning (Items 5.D and 5.G); "also a broker-dealer" where Item 6.A is checked. Firm names only: no person, contact or website is shown.
Sources and dates
FigureSourcePeriod, read
Assets, private funds, client types, main office, employeesSEC Form ADV adviser data, October 2026 report, and each adviser's Form ADV as filed, 93 advisersFilings to 2026-10-01; read 2026-10-31
Reports of listed stocks (13F filer)SEC EDGAR Form 13F, 26 filers, by the CIK on each Form ADVLatest filing; read 2026-10-31
Main office to metroHUD USPS ZIP to county crosswalk, 2026 Q2, and the Census metro delineation, July 2023Read 2026-10-31
LogosNone shown: each firm has a monogramRead 2026-10-31

Cite as: Praxis Rock Advisors, "Wealth Management Firms (RIAs) in Orange County," updated October 31, 2026, praxisrock.com/resources/investors/wealth-management-firms-orange-county

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