{
  "crd_number": 41533,
  "slug": "b-b-graham-and-company-inc-orange-ca-41533",
  "primary_business_name": "B.B. GRAHAM & COMPANY, INC.",
  "legal_name": "B.B. GRAHAM & COMPANY, INC.",
  "dbas": [],
  "city": "Orange",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "31080",
  "metro": {
    "cbsa_code": "31080",
    "common_name": "Los Angeles",
    "msa_name": "Los Angeles-Long Beach-Anaheim, CA",
    "path": "/advisors/ca/los-angeles"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2015-12-03",
  "years_registered": 10,
  "period": "2026-10-01",
  "filing_date": "2026-10-01",
  "carried_forward": false,
  "raum_total": 321650372.0,
  "raum_discretionary": 176584090.0,
  "raum_non_discretionary": 145066282.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 32,
  "advisory_employees": 32,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 79239885.0,
      "count": 323
    },
    "high_net_worth_individuals": {
      "raum": 242410487.0,
      "count": 104
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "WA",
    "WI",
    "WY"
  ],
  "websites": [
    "https://bbgraham.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/41533",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "ORANGE",
  "url": "https://advisorcensus.com/firm/b-b-graham-and-company-inc-orange-ca-41533",
  "display_name": "B.B. Graham & Company, Inc.",
  "summary": "B.B. Graham & Company, Inc. is an SEC-registered investment advisory firm in Orange, CA, registered since 2015, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated October 1, 2026.",
  "citation": "AdvisorCensus. B.B. Graham & Company, Inc. (CRD 41533): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is B.B. Graham & Company, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), B.B. Graham & Company, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is B.B. Graham & Company, Inc. located?",
      "a": "B.B. Graham & Company, Inc.'s principal office is in Orange, CA, according to its Form ADV; the April 2026 filing also lists 8 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is B.B. Graham & Company, Inc. registered with the SEC or a state?",
      "a": "B.B. Graham & Company, Inc. is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 41533."
    },
    {
      "q": "How much does B.B. Graham & Company, Inc. manage?",
      "a": "B.B. Graham & Company, Inc. reports $321,650,372 in regulatory assets under management in its Form ADV filing dated October 1, 2026 (55% discretionary)."
    },
    {
      "q": "How have B.B. Graham & Company, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for B.B. Graham & Company, Inc.: Regulatory assets under management: $210,850,482 in the October 2021 data and $321,650,372 in the October 2026 data, up 53%. Total employees: 31 in October 2021 and 32 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does B.B. Graham & Company, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (323); high net worth individuals (104)."
    },
    {
      "q": "Does B.B. Graham & Company, Inc. report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/41533"
    },
    {
      "q": "What changed in B.B. Graham & Company, Inc.'s recent Form ADV filings?",
      "a": "In the October 2026 filing data: Registered or notice-filed in AR."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 210850482.0,
      "total_employees": 31,
      "filing_date": "2021-06-03"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 322028638.0,
      "total_employees": 29,
      "filing_date": "2022-07-06"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 219658899.0,
      "total_employees": 29,
      "filing_date": "2023-08-07"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 172703164.0,
      "total_employees": 27,
      "filing_date": "2024-06-14"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 196073458.0,
      "total_employees": 28,
      "filing_date": "2025-04-16"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 321650372.0,
      "total_employees": 32,
      "filing_date": "2026-10-01"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Registered or notice-filed in AR."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 28 to 32.",
        "Regulatory assets under management went from $196,073,458 to $321,650,372 (+64%).",
        "Added an office in Dunmore, PA.",
        "Added an office in Sarasota, FL.",
        "No longer lists an office in Westfield, IN."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Registered or notice-filed in DE."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/b-b-graham-and-company-inc-orange-ca-41533.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 323,
      "fewer_than_5": false,
      "raum": 79239885.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 104,
      "fewer_than_5": false,
      "raum": 242410487.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/41533",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}