# B.B. Graham & Company, Inc.

> 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.

- CRD: 41533
- Filed as: B.B. GRAHAM & COMPANY, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Orange, CA
- Filing period: October 2026
- Form ADV filing dated: October 1, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/41533
- AdvisorCensus page: https://advisorcensus.com/firm/b-b-graham-and-company-inc-orange-ca-41533

## Quick answers

**How is B.B. Graham & Company, Inc. compensated?**
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).

**How much does B.B. Graham & Company, Inc. charge?**
Its Form ADV Part 2A brochure dated March 23, 2026 states: Hourly rate: $50 an hour (financial planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is B.B. Graham & Company, Inc. located?**
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).

**Is B.B. Graham & Company, Inc. registered with the SEC or a state?**
B.B. Graham & Company, Inc. is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 41533.

**How much does B.B. Graham & Company, Inc. manage?**
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).

**How have B.B. Graham & Company, Inc.'s assets and staff changed since 2021?**
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.

**What types of clients does B.B. Graham & Company, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (323); high net worth individuals (104).

**Does B.B. Graham & Company, Inc. report any disciplinary disclosures?**
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

**What changed in B.B. Graham & Company, Inc.'s recent Form ADV filings?**
In the October 2026 filing data: Registered or notice-filed in AR.

## 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)

- Hourly rate: $50 an hour (financial planning services)

> For financial planning services as provided by BBG, client may agree to pay BBG a minimum hourly fee of $50.00 per hour which is negotiable.

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

### Regulatory assets under management (Item 5.F)
- Total: $321,650,372
- Discretionary: $176,584,090
- Non-discretionary: $145,066,282

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 323 | $79,239,885 |
| High net worth individuals | 104 | $242,410,487 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2015 (10 years)
- Employees: 32 total, 32 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): 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?
- 11.E(2): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/41533

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Alton, IL
- Austin, TX
- Dunmore, PA
- Lake Forest, CA
- Lincolnshire, IL
- Monroe, OR
- Oklahoma City, OK
- Sarasota, FL

### Websites listed on Form ADV (Item 1.I)
- bbgraham.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $210,850,482 | 31 | June 3, 2021 |
| October 2022 | $322,028,638 | 29 | July 6, 2022 |
| October 2023 | $219,658,899 | 29 | August 7, 2023 |
| October 2024 | $172,703,164 | 27 | June 14, 2024 |
| October 2025 | $196,073,458 | 28 | April 16, 2025 |
| October 2026 | $321,650,372 | 32 | October 1, 2026 |

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.

## Changes in the filing (last 12 months)

### October 2026
- Registered or notice-filed in AR.

### April 2026
- 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.

### December 2025
- Registered or notice-filed in DE.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. B.B. Graham & Company, Inc. (CRD 41533): Form ADV filing data as of October 2026.