{ "crd_number": 139764, "slug": "davies-financial-advisors-inc-murrieta-ca-139764", "primary_business_name": "DAVIES FINANCIAL ADVISORS, INC.", "legal_name": "DAVIES FINANCIAL ADVISORS, INC.", "dbas": [], "city": "Murrieta", "state": "CA", "country": "United States", "cbsa_code": "40140", "metro": { "cbsa_code": "40140", "common_name": "Riverside", "msa_name": "Riverside-San Bernardino-Ontario, CA", "path": "/advisors/ca/riverside" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2022-09-15", "years_registered": 4, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 123078109.0, "raum_discretionary": 123078109.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 10, "advisory_employees": 6, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 1665324.0, "count": null, "fewer_than_5": true }, "individuals": { "raum": 25275704.0, "count": 104 }, "high_net_worth_individuals": { "raum": 64632915.0, "count": 21 }, "corporations_other_businesses": { "raum": 31504166.0, "count": 46 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "other", "pension_consulting", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "AZ", "CA", "ID", "NE", "NV", "OR", "TN", "TX", "WA" ], "websites": [ "https://ajdavies.net", "https://linkedin.com/in/andydavies5" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/139764", "city_as_filed": "MURRIETA", "url": "https://advisorcensus.com/firm/davies-financial-advisors-inc-murrieta-ca-139764", "display_name": "Davies Financial Advisors, Inc.", "summary": "Davies Financial Advisors, Inc. is an SEC-registered investment advisory firm in Murrieta, CA, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Davies Financial Advisors, Inc. (CRD 139764): 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)", "Other" ], "quick_answers": [ { "q": "How is Davies Financial Advisors, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Davies Financial Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is Davies Financial Advisors, Inc. located?", "a": "Davies Financial Advisors, Inc.'s principal office is in Murrieta, CA, according to its Form ADV." }, { "q": "Is Davies Financial Advisors, Inc. registered with the SEC or a state?", "a": "Davies Financial Advisors, Inc. is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 139764." }, { "q": "How much does Davies Financial Advisors, Inc. manage?", "a": "Davies Financial Advisors, Inc. reports $123,078,109 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)." }, { "q": "How have Davies Financial Advisors, Inc.'s assets and staff changed since 2022?", "a": "In the Form ADV data for Davies Financial Advisors, Inc.: Regulatory assets under management: $110,299,247 in the October 2022 data and $123,078,109 in the October 2026 data, up 12%. Total employees: 7 in October 2022 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Davies Financial Advisors, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (104); corporations or other businesses not listed above (46); high net worth individuals (21)." }, { "q": "Which custodians does Davies Financial Advisors, Inc. use?", "a": "Davies Financial Advisors, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Davies Financial Advisors, Inc. report any disciplinary disclosures?", "a": "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/139764" }, { "q": "What changed in Davies Financial Advisors, Inc.'s recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 7 to 6. Regulatory assets under management went from $288,171,244 to $123,078,109 (-57%)." } ], "filing_history": [ { "period": "2022-10-01", "regulatory_assets_under_management": 110299247.0, "total_employees": 7, "filing_date": "2022-08-15" }, { "period": "2023-10-01", "regulatory_assets_under_management": 118478524.0, "total_employees": 7, "filing_date": "2023-07-17" }, { "period": "2024-10-01", "regulatory_assets_under_management": 165308484.0, "total_employees": 8, "filing_date": "2024-09-05" }, { "period": "2025-10-01", "regulatory_assets_under_management": 288171244.0, "total_employees": 11, "filing_date": "2025-03-12" }, { "period": "2026-10-01", "regulatory_assets_under_management": 123078109.0, "total_employees": 10, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 7 to 6.", "Regulatory assets under management went from $288,171,244 to $123,078,109 (-57%)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "National Financial Services LLC", "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC", "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/davies-financial-advisors-inc-murrieta-ca-139764.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 104, "fewer_than_5": false, "raum": 25275704.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 21, "fewer_than_5": false, "raum": 64632915.0 }, { "type": "charitable", "label": "Charitable organizations", "count": null, "fewer_than_5": true, "raum": 1665324.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 46, "fewer_than_5": false, "raum": 31504166.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "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/139764", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }