AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $2.3 |
| Non-Discretionary | $18.8 |
| Total | $21.0 |
| Client | AUM |
|---|---|
| Retail | $0.6 |
| Pooled | $0.0 |
| Institutional | $20.4 |
| Total | $21.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 713 | $0.2 |
| Average Individual AUM | $261,143 | |
| HNW | 319 | $0.4 |
| Average HNW AUM | $1,296,690 | |
| Retail Total | 1,032 | $0.6 |
| Average Retail AUM | $581,240 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| LPL FINANCIAL LLC | BOSTON-MA-USA | $0.6 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $21.0 |
| Retail SMA AUM | $0.6 |
| Institutional SMA AUM | $20.4 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 2% | $0.4 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 93% | $19.6 |
| Other Pools | 3% | $0.6 |
| Cash | 2% | $0.4 |
| Other | 0% | $0.0 |
| Total | 100% | $21.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| THE CAPITAL GROUP INVESTMENT ADVISORY SERVICES, LLC | $1.2 | 169727 | |
| BRP SECURITIES, LLC | $0.0 | broker-dealer | 312876 |
| ARMFIELD, HARRISON & THOMAS, LLC | $0.0 | - | |
| BKS FINANCIAL INVESTMENTS, LLC | $0.0 | 304266 | |
| BURNHAM BENEFITS INSURANCE SERVICES, LLC | $0.0 | - | |
| INSGROUP, LLC | $0.0 | - | |
| BALDWIN KRYSTYN SHERMAN PARTNERS, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
17 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| AARON VASQUEZ | IRVINE | CA | S66|2015-09-09|S65|2023-07-11 | ||||||
| LAURIE SOWA-WESTWOOD | IRVINE | CA | S63|2015-06-23|S66|2018-12-27 | ||||||
| ROBERT TRUJILLO | IRVINE | CA | S63|2012-06-21|S65|2022-08-03 | ||||||
| JONATHAN YOUNG | IRVINE | CA | S66|2008-02-07 | ||||||
| TODD STAHL | IRVINE | CA | S63|1999-06-25|S65|1999-12-03|S66|2011-01-11 | ||||||
| KAYLA FRANCO | IRVINE | CA | S66|2020-06-24 | ||||||
| ALVIN TAN | IRVINE | CA | S66|2020-05-29 | ||||||
| DARIN GIBSON | IRVINE | CA | S63|1995-12-13|S65|1998-12-18 | ||||||
| TAYLOR BOYD | IRVINE | CA | S63|2008-07-21|S66|2009-09-11 | ||||||
| RYAN CALL | IRVINE | CA | S63|2007-03-10|S65|2018-01-19 | ||||||
| SINA SOLTANI | IRVINE | CA | S63|2012-01-26|S65|2018-02-09 | ||||||
| JEFFREY WARNOCK | IRVINE | CA | S63|1996-05-06|S65|1996-06-24 | ||||||
| STEPHEN YU | IRVINE | CA | S65|2002-10-01|S63|2018-06-11 | CHARTERED FINANCIAL ANALYST | |||||
| SUNG PARK | IRVINE | CA | S63|1999-03-22|S66|2013-10-14 | ||||||
| YASMIN SOLTANI | IRVINE | CA | S66|2015-08-31 | ||||||
| KYLE LABEAUNE | IRVINE | CA | S66|2018-03-13 | ||||||
| STUART FRIEDMAN | IRVINE | CA | S63|1992-06-05|S65|1998-05-29 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $21.0 | $0.0 | 0% | 36 | 0 | 0% |
| 2025-04-21 | $21.0 | $0.0 | 0% | 36 | 0 | 0% |
| 2024-04-02 | $3.2 | $17.8 | 549% | 17 | 19 | 112% |
| 2023-04-04 | $3.1 | $17.9 | 570% | 20 | 16 | 80% |
| 2022-04-01 | $3.5 | $17.5 | 493% | 16 | 20 | 125% |
| 2021-04-05 | $3.0 | $18.1 | 610% | 14 | 22 | 157% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| FL, AL-10/01/2024, AR-03/26/2025, AZ-02/26/2021, CA-03/01/2021, CO-03/26/2025, DC-10/01/2024, DE-10/01/2024, FL-02/26/2021, GA-10/01/2024, HI-05/10/2024, ID-06/28/2023, IL-10/01/2024, IN-10/01/2024, KS-03/26/2025, LA-10/01/2024, MA-10/01/2024, MD-10/01/2024, MI-03/26/2025, MN-03/26/2025, MT-03/26/2025, NC-03/26/2025, NH-10/01/2024, NJ-10/01/2024, NV-10/01/2024, NY-10/01/2024, OH-10/01/2024, OR-10/01/2024, PA-10/01/2024, SC-10/01/2024, TN-10/01/2024, TX-02/26/2021, UT-03/26/2025, VA-10/01/2024, WA-04/06/2021, WI-10/01/2024 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV