Adviser Profile

As of Date 08/17/2026
Registration SEC, Approved, 05/11/2012
ADV Location CARLSBAD, CA, United States
Contact Info (76 xxxxxxx
Websites
AUM* 463,745,899 22%
of that, discretionary 451,400,072 24%
Number of Employees 6 50%
of those in investment advisory functions 4 33%
Private Fund GAV* 0
Avg Account Size 467,958 12%
% High Net Worth 35.40% 24%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

451M 387M 322M 258M 193M 129M 64M
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker78462F103 Stock NameSTATE STR SPDR S&P 500 ETF T $ Position$34,727,070 % Position11.00% $ Change8.00% # Change-5.00%
Stck Ticker922908363 Stock NameVANGUARD INDEX FDS $ Position$25,623,707 % Position8.00% $ Change12.00% # Change-2.00%
Stck Ticker46434V860 Stock NameISHARES TR $ Position$22,822,876 % Position7.00% $ Change6.00% # Change6.00%
Stck Ticker46436E858 Stock NameISHARES TR $ Position$18,490,731 % Position6.00% $ Change4.00% # Change4.00%
Stck Ticker46436E841 Stock NameISHARES TR $ Position$18,754,955 % Position6.00% $ Change4.00% # Change5.00%
Stck Ticker46436E833 Stock NameISHARES TR $ Position$18,570,118 % Position6.00% $ Change4.00% # Change5.00%
Stck Ticker78464A854 Stock NameSPDR SERIES TRUST $ Position$19,560,399 % Position6.00% $ Change33.00% # Change17.00%
Stck Ticker78467X109 Stock NameSTATE STR SPDR DOW JONES IND $ Position$16,062,913 % Position5.00% $ Change11.00% # Change-2.00%
Stck Ticker46436E825 Stock NameISHARES TR $ Position$14,274,094 % Position4.00% $ Change7.00% # Change8.00%
Stck Ticker46436E593 Stock NameISHARES TR $ Position$13,848,629 % Position4.00% $ Change5.00% # Change6.00%

Brochure Summary