# Anchor Bay Capital, Inc.

> Anchor Bay Capital, Inc. is an SEC-registered investment advisory firm in Carlsbad, CA, registered since 2016, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 23, 2026.

- CRD: 116913
- Filed as: ANCHOR BAY CAPITAL, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Carlsbad, CA
- Filing period: October 2026
- Form ADV filing dated: March 23, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/116913
- AdvisorCensus page: https://advisorcensus.com/firm/anchor-bay-capital-inc-carlsbad-ca-116913

## Quick answers

**How is Anchor Bay Capital, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Anchor Bay Capital, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does Anchor Bay Capital, Inc. charge?**
Its Form ADV Part 2A brochure dated March 23, 2026 states: Asset-based fee: 0.95% to 1.75% a year (a range, as the brochure states it); Hourly rate: $150 an hour (financial planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Anchor Bay Capital, Inc. located?**
Anchor Bay Capital, Inc.'s principal office is in Carlsbad, CA, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Anchor Bay Capital, Inc. registered with the SEC or a state?**
Anchor Bay Capital, Inc. is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 116913.

**How much does Anchor Bay Capital, Inc. manage?**
Anchor Bay Capital, Inc. reports $247,127,800 in regulatory assets under management in its Form ADV filing dated March 23, 2026 (98% discretionary).

**How have Anchor Bay Capital, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Anchor Bay Capital, Inc.: Regulatory assets under management: $153,500,000 in the October 2021 data and $247,127,800 in the October 2026 data, up 61%. Total employees: 8 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Anchor Bay Capital, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (142); high net worth individuals (45); pension and profit sharing plans (but not the plan participants or government pension plans) (3).

**Which custodians does Anchor Bay Capital, Inc. use?**
Anchor Bay Capital, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Anchor Bay Capital, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/116913

**Does Anchor Bay Capital, Inc. state an account minimum?**
Its Form ADV Part 2A brochure dated March 23, 2026 says: "ABC generally prefers a minimum of $1,000,000 of assets under management to establish a new advisory relationship; however, the minimum may be waived at the sole discretion of the ABC."

**What changed in Anchor Bay Capital, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $219,444,071 to $247,127,800 (+13%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 23, 2026)

- Asset-based fee: 0.95% to 1.75% a year (a range, as the brochure states it)

> Advisory Fees for Investment Management Services will range from .95% to 1.75% annually.

- Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)

> ABC generally prefers a minimum of $1,000,000 of assets under management to establish a new advisory relationship; however, the minimum may be waived at the sole discretion of the ABC.

- Hourly rate: $150 an hour (financial planning services)

> ABC estimates the number of hours the services will take and quotes a flat fee based on a multiple of $150 an hour but with a floor and a cap on fees.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $247,127,800
- Discretionary: $243,354,000
- Non-discretionary: $3,773,800

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 142 | $46,376,000 |
| High net worth individuals | 45 | $196,978,000 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 3 | $3,773,800 |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 0 | Not reported |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services

### Firm details
- Registered since: 2016 (10 years)
- Employees: 6 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, UT, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Tustin, CA

### Websites listed on Form ADV (Item 1.I)
- anchorbaycapital.com
- Facebook @anchorbaycapital
- LinkedIn @anchor-bay-capital-inc-

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $153,500,000 | 8 | March 30, 2021 |
| October 2022 | $172,304,000 | 6 | March 1, 2022 |
| October 2023 | $182,210,000 | 5 | August 10, 2023 |
| October 2024 | $208,516,000 | 5 | March 26, 2024 |
| October 2025 | $219,444,071 | 6 | March 21, 2025 |
| October 2026 | $247,127,800 | 6 | March 23, 2026 |

Regulatory assets under management: $153,500,000 in the October 2021 data and $247,127,800 in the October 2026 data, up 61%.
Total employees: 8 in October 2021 and 6 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $219,444,071 to $247,127,800 (+13%).

### November 2025
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Anchor Bay Capital, Inc. (CRD 116913): Form ADV filing data as of October 2026.