Adviser Profile

As of Date 03/17/2026
Registration SEC, Approved, 11/07/2012
Other registrations (26)
ADV Location SIMI VALLEY, CA, United States
Contact Info 800 xxxxxxx
Websites
AUM* 1,747,369,322 54%
of that, discretionary 1,705,116,249 54%
Number of Employees 72 9%
of those in investment advisory functions 68 8%
Private Fund GAV* 0
Avg Account Size 119,039 36%
% High Net Worth 0.58% -14%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- 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
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Reported AUM

2B 1B 1B 974M 731M 487M 244M
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 Ticker922908363 Stock NameVANGUARD INDEX FDS $ Position$57,512,080 % Position5.00% $ Change14.00% # Change-1.00%
Stck Ticker46138E339 Stock NameINVESCO EXCH TRADED FD TR II $ Position$42,519,314 % Position4.00% $ Change56.00% # Change8.00%
Stck Ticker46090E103 Stock NameINVESCO QQQ TR $ Position$42,264,241 % Position4.00% $ Change36.00% # Change7.00%
Stck Ticker33740F755 Stock NameFIRST TR EXCHNG TRADED FD VI $ Position$24,814,701 % Position2.00% $ Change13.00% # Change4.00%
Stck Ticker37954Y673 Stock NameGLOBAL X FDS $ Position$16,915,075 % Position2.00% $ Change17.00% # Change1.00%
Stck Ticker69374H881 Stock NamePACER FDS TR $ Position$16,954,718 % Position2.00% $ Change1.00% # Change2.00%
Stck Ticker78464A805 Stock NameSPDR SERIES TRUST $ Position$18,778,059 % Position2.00% $ Change17.00% # Change2.00%
Stck Ticker33733E690 Stock NameFIRST TR EXCHANGE-TRADED FD $ Position$24,575,559 % Position2.00% $ Change # Change
Stck Ticker46641Q159 Stock NameJ P MORGAN EXCHANGE TRADED F $ Position$18,826,222 % Position2.00% $ Change0.00% # Change0.00%
Stck Ticker46641Q332 Stock NameJ P MORGAN EXCHANGE TRADED F $ Position$23,414,310 % Position2.00% $ Change-5.00% # Change-4.00%

Brochure Summary