{ "crd_number": 30833, "slug": "centaurus-financial-inc-anaheim-ca-30833", "primary_business_name": "CENTAURUS FINANCIAL, INC.", "legal_name": "CENTAURUS FINANCIAL, INC.", "dbas": [], "city": "Anaheim", "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": "1999-10-08", "years_registered": 26, "period": "2026-10-01", "filing_date": "2026-07-30", "carried_forward": false, "raum_total": 9740127253.0, "raum_discretionary": 3210452543.0, "raum_non_discretionary": 6529674710.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 571, "advisory_employees": 426, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 8438472762.0, "count": 44727 }, "high_net_worth_individuals": { "raum": 1232526053.0, "count": 467 }, "corporations_other_businesses": { "raum": 69128438.0, "count": 142 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "educational_seminars", "financial_planning", "market_timing", "pension_consulting", "periodicals_newsletters", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": true, "disclosure_yes_count": 6, "states_registered": [ "AK", "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "PR", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "VI", "VT", "WA", "WI", "WV", "WY" ], "websites": [ "https://centaurusfinancial.com", "https://facebook.com/CentaurusFinancial", "https://linkedin.com/company/centaurus-financial-", "https://twitter.com/centaurusfin" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/30833", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "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.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "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": "ANAHEIM", "url": "https://advisorcensus.com/firm/centaurus-financial-inc-anaheim-ca-30833", "display_name": "Centaurus Financial, Inc.", "summary": "Centaurus Financial, Inc. is an SEC-registered investment advisory firm in Anaheim, CA, registered since 1999, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated July 30, 2026.", "citation": "AdvisorCensus. Centaurus Financial, Inc. (CRD 30833): 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", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services", "Selection of other advisers (including private fund managers)", "Publication of periodicals or newsletters", "Market timing services", "Educational seminars/workshops" ], "quick_answers": [ { "q": "How is Centaurus Financial, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Centaurus Financial, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Centaurus Financial, Inc. located?", "a": "Centaurus Financial, Inc.'s principal office is in Anaheim, CA, according to its Form ADV; the August 2026 filing also lists 21 other offices (Schedule D, Section 1.F)." }, { "q": "Is Centaurus Financial, Inc. registered with the SEC or a state?", "a": "Centaurus Financial, Inc. is an SEC-registered investment advisory firm, registered since 1999. Status as filed: Approved. CRD 30833." }, { "q": "How much does Centaurus Financial, Inc. manage?", "a": "Centaurus Financial, Inc. reports $9,740,127,253 in regulatory assets under management in its Form ADV filing dated July 30, 2026 (33% discretionary)." }, { "q": "How have Centaurus Financial, Inc.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Centaurus Financial, Inc.: Regulatory assets under management: $4,257,545,696 in the October 2021 data and $9,740,127,253 in the October 2026 data, up 129%. Total employees: 601 in October 2021 and 571 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Centaurus Financial, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (44,727); high net worth individuals (467); corporations or other businesses not listed above (142)." }, { "q": "Which custodians does Centaurus Financial, Inc. use?", "a": "Centaurus Financial, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Pershing LLC and SEI Investments Distribution Co. as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Centaurus Financial, Inc. report any disciplinary disclosures?", "a": "Reports 6 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), 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/30833" }, { "q": "What changed in Centaurus Financial, Inc.'s recent Form ADV filings?", "a": "In the August 2026 filing data: Employees performing advisory functions went from 375 to 426. Regulatory assets under management went from $7,336,108,151 to $9,740,127,253 (+33%). Added an office in Anaheim, CA. Added an office in Downey, CA. Added an office in Winterhaven, FL. No longer lists an office in Lake Charles, LA. No longer lists an office in Santa Ana, CA. No longer lists an office in Santa Maria, CA. Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 4257545696.0, "total_employees": 601, "filing_date": "2021-07-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": 4564124620.0, "total_employees": 616, "filing_date": "2022-07-29" }, { "period": "2023-10-01", "regulatory_assets_under_management": 5212001329.0, "total_employees": 598, "filing_date": "2023-07-28" }, { "period": "2024-10-01", "regulatory_assets_under_management": 6276899920.0, "total_employees": 580, "filing_date": "2024-07-29" }, { "period": "2025-10-01", "regulatory_assets_under_management": 7336108151.0, "total_employees": 580, "filing_date": "2025-07-24" }, { "period": "2026-10-01", "regulatory_assets_under_management": 9740127253.0, "total_employees": 571, "filing_date": "2026-07-30" } ], "recent_changes": [ { "period": "2026-08-01", "period_label": "August 2026", "notes": [ "Employees performing advisory functions went from 375 to 426.", "Regulatory assets under management went from $7,336,108,151 to $9,740,127,253 (+33%).", "Added an office in Anaheim, CA.", "Added an office in Downey, CA.", "Added an office in Winterhaven, FL.", "No longer lists an office in Lake Charles, LA.", "No longer lists an office in Santa Ana, CA.", "No longer lists an office in Santa Maria, CA.", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Pershing LLC", "name_as_filed": "PERSHING LLC", "affiliated": false }, { "name": "SEI Investments Distribution Co.", "name_as_filed": "SEI INVESTMENTS DISTRIBUTION CO.", "affiliated": false } ], "custodians_note": "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.", "markdown_url": "https://advisorcensus.com/firm/centaurus-financial-inc-anaheim-ca-30833.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 44727, "fewer_than_5": false, "raum": 8438472762.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 467, "fewer_than_5": false, "raum": 1232526053.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 142, "fewer_than_5": false, "raum": 69128438.0 } ], "disclosure_line": "Reports 6 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/30833", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }