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WEALTH MANAGEMENT & BUSINESS CONCEPTS

Advisory

N·IRVINE, CA

Data as of Feb 22, 2024 · Source: SEC Form ADV

Total AUM

$116M

1-Year AUM Growth

+18.5%

3-Year CAGR

+1.3%

Employees

3

Assets Under Management

Total AUM$116M

Discretionary AUM$57M

Non-Discretionary AUM$59M

Discretionary %48.9%

Total Clients120

Team

Total Employees3

Investment Advisers3

Employee Growth (1Y)—

Filing History

Total Filings on Record37

First FilingDec 2, 2002

Latest FilingFeb 22, 2024

🔒 Full AUM trend chart and 37 historical filings spanning 22+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on WEALTH MANAGEMENT & BUSINESS CONCEPTS

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.