{ "path": "/advisors/ca/los-angeles/for-retirement-plans", "url": "https://advisorcensus.com/advisors/ca/los-angeles/for-retirement-plans/page/6", "page_type": "metro_answer", "title": "Financial advisors for retirement plans in Los Angeles, CA", "filters": {}, "scope_total": 344, "faq": [ { "q": "Which financial advisors in Los Angeles, CA work with retirement plans?", "a": "344 investment advisory firms with a principal office in the Los Angeles metro area report retirement plans among their clients on Form ADV Item 5.D, as of October 2026; this page lists them. Form ADV Item 5.D asks every registered adviser which types of clients it advises, with the number of each and the assets it manages for them; a firm appears here when it reports at least one." }, { "q": "How many financial advisory firms are there in Los Angeles, CA?", "a": "AdvisorCensus lists 1,666 investment advisory firms with a principal office in the Los Angeles metro area, from Form ADV filings as of October 2026: 715 SEC-registered, 580 state-registered, and 371 exempt reporting advisers. Firms may request removal, so the count can differ slightly from the number of firms that file Form ADV." }, { "q": "How many fee-only financial advisors are in Los Angeles, CA?", "a": "384 of the 1,666 firms meet AdvisorCensus's fee-only test: paid only by a percentage of assets, hourly charges, fixed fees, or subscription fees on Form ADV Item 5.E (no commissions, performance-based fees, or other compensation), with no sales-related compensation ties in the same filing: no employee registered with a broker-dealer or licensed as an insurance agent (Item 5.B), no brokerage, insurance, real estate, or other product sales business (Item 6.A), no related broker-dealer, insurance company, real estate broker, or futures commission merchant (Item 7.A), and no referral fees from others or other sales interest (Item 8). Form ADV has no fee-only box, so this is derived from the filing; it is not a fee-only certification, and a firm's own page lists its compensation arrangements as filed." }, { "q": "How many financial advisors in Los Angeles, CA offer financial planning?", "a": "632 of the 1,295 firms in Los Angeles, CA that answer Form ADV Item 5.G, which asks what advisory services a firm provides, report financial planning services, as of October 2026. Exempt reporting advisers do not answer Item 5.G. Each firm page lists every advisory service the firm reports." }, { "q": "Are the financial advisors in Los Angeles, CA fiduciaries?", "a": "Every firm on this page is an investment adviser that files Form ADV, and an investment adviser owes its clients a fiduciary duty under federal law, made up of a duty of care and a duty of loyalty: it must act in the client's best interest and not put its own interests ahead of the client's, and must eliminate its conflicts of interest or disclose them fully and fairly. Form ADV has no fiduciary box because the duty comes with being an investment adviser. The duty covers the firm's advice; a firm or its people may also sell securities through a broker-dealer or insurance as licensed agents, roles held to other standards. The 384 firms that meet AdvisorCensus's fee-only test report none of those sales ties." }, { "q": "How do I check whether a financial advisor has disciplinary disclosures?", "a": "Each firm page shows how many Form ADV Item 11 disciplinary questions the firm answered yes and links to the firm's record on the SEC's Investment Adviser Public Disclosure site (adviserinfo.sec.gov), where the detail of each disclosure is public. Individual advisers' records are on the same site and on FINRA BrokerCheck." }, { "q": "Does AdvisorCensus rate, verify, or recommend these firms?", "a": "No. The directory shows what each firm filed, in alphabetical order unless you choose another sort, and no firm's position depends on payment. Firms that claim their page can add a description and links, marked as provided by the firm; the filed facts are never changed by that content." }, { "q": "What does regulatory assets under management mean?", "a": "Regulatory assets under management (RAUM) is the figure a firm reports on Form ADV Item 5.F: the securities portfolios it provides continuous and regular supervisory or management services for, at market value, including assets managed without discretion. It measures scale, not performance or quality." } ], "period": "2026-10-01", "answer_paragraph": "Find financial advisors in Los Angeles, CA who work with retirement plans. AdvisorCensus lists 344 investment advisory firms with a principal office in the Los Angeles metro area that report retirement plans among their clients, as of October 2026. Reporting a client type means the firm serves it, not that it serves only that type. Firms are listed alphabetically, and each firm's page lists its client types.", "about_market": "Los Angeles has 1,666 investment advisory firms with a principal office in the metro area as of October 2026: 715 SEC-registered, 580 state-registered, and 371 exempt reporting advisers. 384 of them meet AdvisorCensus's fee-only test (paid only by client fees, with no sales-related compensation ties such as an employee registered with a broker-dealer or licensed as an insurance agent), and 507 report under $100 million in regulatory assets under management. The metro area has 4,499,409 households, 872,794 of them with income of $200,000 or more, or 524 such households for each firm (Census Bureau, American Community Survey 2020–2024 5-year estimates).", "citation": "AdvisorCensus. Financial advisors for retirement plans in Los Angeles, CA: 344 firms from Form ADV filings as of October 2026.", "total_firms": 344, "page": 6, "total_pages": 7, "sort": "name", "registration_types": { "sec": 241, "state": 103, "exempt": 0 }, "fee_model_mix": [ { "code": "fee-only", "count": 97 }, { "code": "percentage_of_aum", "count": 333 }, { "code": "hourly", "count": 155 }, { "code": "subscription", "count": 2 }, { "code": "fixed", "count": 199 }, { "code": "commissions", "count": 3 }, { "code": "performance_based", "count": 67 }, { "code": "other", "count": 39 }, { "code": "not_reported", "count": 0 } ], "years_registered_distribution": [ { "code": "under_5", "count": 72 }, { "code": "5_to_9", "count": 80 }, { "code": "10_to_19", "count": 92 }, { "code": "20_plus", "count": 99 }, { "code": "not_reported", "count": 1 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 36 }, { "code": "25m_100m", "count": 53 }, { "code": "100m_500m", "count": 104 }, { "code": "500m_1b", "count": 36 }, { "code": "1b_5b", "count": 58 }, { "code": "over_5b", "count": 48 }, { "code": "not_reported", "count": 9 } ], "firms": [ { "crd_number": 317386, "name": "Quantum Financial Advisors, LLC", "name_as_filed": "QUANTUM FINANCIAL ADVISORS, LLC", "url": "https://advisorcensus.com/firm/quantum-financial-advisors-llc-santa-monica-ca-317386", "city": "Santa Monica", "state": "CA", "years_registered": 4, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 146541, "name": "R-Tech Advisors, Inc.", "name_as_filed": "R-TECH ADVISORS, INC.", "url": "https://advisorcensus.com/firm/r-tech-advisors-inc-woodland-hills-ca-146541", "city": "Woodland Hills", "state": "CA", "years_registered": 18, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 106688, "name": "R.H. Dinel Investment Counsel,inc.", "name_as_filed": "R.H. DINEL INVESTMENT COUNSEL,INC.", "url": "https://advisorcensus.com/firm/r-h-dinel-investment-counsel-inc-los-angeles-ca-106688", "city": "Los Angeles", "state": "CA", "years_registered": 35, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 312570, "name": "Raymond Liao Investment Advisor", "name_as_filed": "RAYMOND LIAO INVESTMENT ADVISOR", "url": "https://advisorcensus.com/firm/raymond-liao-investment-advisor-arcadia-ca-312570", "city": "Arcadia", "state": "CA", "years_registered": 5, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 291029, "name": "RBA Wealth Management, LLC", "name_as_filed": "RBA WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/rba-wealth-management-llc-newport-beach-ca-291029", "city": "Newport Beach", "state": "CA", "years_registered": 8, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 103705, "name": "RBC Securities, Inc.", "name_as_filed": "RBC SECURITIES, INC.", "url": "https://advisorcensus.com/firm/rbc-securities-inc-los-angeles-ca-103705", "city": "Los Angeles", "state": "CA", "years_registered": 16, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "other" ], "enhanced": false }, { "crd_number": 167905, "name": "Rclco Fund Advisors, LLC", "name_as_filed": "RCLCO FUND ADVISORS, LLC", "url": "https://advisorcensus.com/firm/rclco-fund-advisors-llc-los-angeles-ca-167905", "city": "Los Angeles", "state": "CA", "years_registered": 12, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed", "performance_based", "other" ], "enhanced": false }, { "crd_number": 297277, "name": "Redefine Financial", "name_as_filed": "REDEFINE FINANCIAL", "url": "https://advisorcensus.com/firm/redefine-financial-mission-viejo-ca-297277", "city": "Mission Viejo", "state": "CA", "years_registered": 8, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 174198, "name": "Redmount Capital Partners LLC", "name_as_filed": "REDMOUNT CAPITAL PARTNERS LLC", "url": "https://advisorcensus.com/firm/redmount-capital-partners-llc-newport-beach-ca-174198", "city": "Newport Beach", "state": "CA", "years_registered": 11, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "performance_based" ], "enhanced": false }, { "crd_number": 145363, "name": "Regatta Capital Group, LLC", "name_as_filed": "REGATTA CAPITAL GROUP, LLC", "url": "https://advisorcensus.com/firm/regatta-capital-group-llc-el-segundo-ca-145363", "city": "El Segundo", "state": "CA", "years_registered": 18, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 120440, "name": "Research Affiliates", "name_as_filed": "RESEARCH AFFILIATES", "url": "https://advisorcensus.com/firm/research-affiliates-newport-beach-ca-120440", "city": "Newport Beach", "state": "CA", "years_registered": 24, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 297255, "name": "Retirement Wellness Group", "name_as_filed": "RETIREMENT WELLNESS GROUP", "url": "https://advisorcensus.com/firm/retirement-wellness-group-pasadena-ca-297255", "city": "Pasadena", "state": "CA", "years_registered": 8, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 165625, "name": "RHB Capital, Inc.", "name_as_filed": "RHB CAPITAL, INC.", "url": "https://advisorcensus.com/firm/rhb-capital-inc-huntington-beach-ca-165625", "city": "Huntington Beach", "state": "CA", "years_registered": 13, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 107069, "name": "Round Hill Asset Management Inc", "name_as_filed": "ROUND HILL ASSET MANAGEMENT INC", "url": "https://advisorcensus.com/firm/round-hill-asset-management-inc-pasadena-ca-107069", "city": "Pasadena", "state": "CA", "years_registered": 40, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 140451, "name": "RVW Wealth LLC", "name_as_filed": "RVW WEALTH LLC", "url": "https://advisorcensus.com/firm/rvw-wealth-llc-los-angeles-ca-140451", "city": "Los Angeles", "state": "CA", "years_registered": 20, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 129367, "name": "S&F Investment Advisors", "name_as_filed": "S&F INVESTMENT ADVISORS", "url": "https://advisorcensus.com/firm/s-and-f-investment-advisors-encino-ca-129367", "city": "Encino", "state": "CA", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 289950, "name": "Sackett Wealth Advisors, Inc.", "name_as_filed": "SACKETT WEALTH ADVISORS, INC.", "url": "https://advisorcensus.com/firm/sackett-wealth-advisors-inc-brea-ca-289950", "city": "Brea", "state": "CA", "years_registered": 8, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 120952, "name": "Schnieders Capital Management, LLC.", "name_as_filed": "SCHNIEDERS CAPITAL MANAGEMENT, LLC.", "url": "https://advisorcensus.com/firm/schnieders-capital-management-llc-pasadena-ca-120952", "city": "Pasadena", "state": "CA", "years_registered": 24, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 137324, "name": "Secura Financial", "name_as_filed": "SECURA FINANCIAL", "url": "https://advisorcensus.com/firm/secura-financial-orange-ca-137324", "city": "Orange", "state": "CA", "years_registered": 8, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "other" ], "enhanced": false }, { "crd_number": 108163, "name": "Seia", "name_as_filed": "SEIA", "url": "https://advisorcensus.com/firm/seia-los-angeles-ca-108163", "city": "Los Angeles", "state": "CA", "years_registered": 27, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 153256, "name": "Select Money Management, Inc.", "name_as_filed": "SELECT MONEY MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/select-money-management-inc-los-angeles-ca-153256", "city": "Los Angeles", "state": "CA", "years_registered": 16, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 136719, "name": "Sharper & Granite LLC", "name_as_filed": "SHARPER & GRANITE LLC", "url": "https://advisorcensus.com/firm/sharper-and-granite-llc-el-segundo-ca-136719", "city": "El Segundo", "state": "CA", "years_registered": 11, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 170233, "name": "Shuster Advisory Group, LLC", "name_as_filed": "SHUSTER ADVISORY GROUP, LLC", "url": "https://advisorcensus.com/firm/shuster-advisory-group-llc-pasadena-ca-170233", "city": "Pasadena", "state": "CA", "years_registered": 10, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 106615, "name": "Sierra Investment Management, LLC", "name_as_filed": "SIERRA INVESTMENT MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/sierra-investment-management-llc-santa-monica-ca-106615", "city": "Santa Monica", "state": "CA", "years_registered": 33, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 160715, "name": "Signature Investment Advisors, LLC", "name_as_filed": "SIGNATURE INVESTMENT ADVISORS, LLC", "url": "https://advisorcensus.com/firm/signature-investment-advisors-llc-los-angeles-ca-160715", "city": "Los Angeles", "state": "CA", "years_registered": 14, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 144069, "name": "Signature Resources Capital Management, LLC", "name_as_filed": "SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/signature-resources-capital-management-llc-newport-beach-ca-144069", "city": "Newport Beach", "state": "CA", "years_registered": 19, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 324633, "name": "Smart Portfolio", "name_as_filed": "SMART PORTFOLIO", "url": "https://advisorcensus.com/firm/smart-portfolio-brea-ca-324633", "city": "Brea", "state": "CA", "years_registered": 0, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 111007, "name": "Spectrum Asset Management Inc", "name_as_filed": "SPECTRUM ASSET MANAGEMENT INC", "url": "https://advisorcensus.com/firm/spectrum-asset-management-inc-newport-beach-ca-111007", "city": "Newport Beach", "state": "CA", "years_registered": 39, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 283414, "name": "Spinnaker Investment Group, LLC", "name_as_filed": "SPINNAKER INVESTMENT GROUP, LLC", "url": "https://advisorcensus.com/firm/spinnaker-investment-group-llc-newport-beach-ca-283414", "city": "Newport Beach", "state": "CA", "years_registered": 10, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 104889, "name": "SSI Investment Management LLC", "name_as_filed": "SSI INVESTMENT MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/ssi-investment-management-llc-los-angeles-ca-104889", "city": "Los Angeles", "state": "CA", "years_registered": 51, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "other" ], "enhanced": false }, { "crd_number": 288129, "name": "SST Benefits Consulting", "name_as_filed": "SST BENEFITS CONSULTING", "url": "https://advisorcensus.com/firm/sst-benefits-consulting-aliso-viejo-ca-288129", "city": "Aliso Viejo", "state": "CA", "years_registered": 9, "raum_band": "500m_1b", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 165168, "name": "Steelpeak Wealth, LLC", "name_as_filed": "STEELPEAK WEALTH, LLC", "url": "https://advisorcensus.com/firm/steelpeak-wealth-llc-los-angeles-ca-165168", "city": "Los Angeles", "state": "CA", "years_registered": 14, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 111453, "name": "Stephenson and Company, Inc.", "name_as_filed": "STEPHENSON AND COMPANY, INC.", "url": "https://advisorcensus.com/firm/stephenson-and-company-inc-san-clemente-ca-111453", "city": "San Clemente", "state": "CA", "years_registered": 7, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 322851, "name": "Stewardship Wealth Management Solutions", "name_as_filed": "STEWARDSHIP WEALTH MANAGEMENT SOLUTIONS", "url": "https://advisorcensus.com/firm/stewardship-wealth-management-solutions-huntington-beach-ca-322851", "city": "Huntington Beach", "state": "CA", "years_registered": 3, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 106073, "name": "Stonebridge Capital Management Inc", "name_as_filed": "STONEBRIDGE CAPITAL MANAGEMENT INC", "url": "https://advisorcensus.com/firm/stonebridge-capital-management-inc-los-angeles-ca-106073", "city": "Los Angeles", "state": "CA", "years_registered": 57, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 158413, "name": "Stonemark Wealth Management", "name_as_filed": "STONEMARK WEALTH MANAGEMENT", "url": "https://advisorcensus.com/firm/stonemark-wealth-management-pasadena-ca-158413", "city": "Pasadena", "state": "CA", "years_registered": 13, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 286019, "name": "Strategic Global Advisors, LLC", "name_as_filed": "STRATEGIC GLOBAL ADVISORS, LLC", "url": "https://advisorcensus.com/firm/strategic-global-advisors-llc-newport-beach-ca-286019", "city": "Newport Beach", "state": "CA", "years_registered": 9, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 109939, "name": "Strategy Asset Managers L.L.C.", "name_as_filed": "STRATEGY ASSET MANAGERS L.L.C.", "url": "https://advisorcensus.com/firm/strategy-asset-managers-l-l-c-pasadena-ca-109939", "city": "Pasadena", "state": "CA", "years_registered": 25, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 299009, "name": "Strivent Financial", "name_as_filed": "STRIVENT FINANCIAL", "url": "https://advisorcensus.com/firm/strivent-financial-mission-viejo-ca-299009", "city": "Mission Viejo", "state": "CA", "years_registered": 7, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "other" ], "enhanced": false }, { "crd_number": 166372, "name": "Sun Group Wealth Partners LLC", "name_as_filed": "SUN GROUP WEALTH PARTNERS LLC", "url": "https://advisorcensus.com/firm/sun-group-wealth-partners-llc-irvine-ca-166372", "city": "Irvine", "state": "CA", "years_registered": 12, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": 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