{ "crd_number": 46217, "slug": "hollencrest-capital-management-newport-beach-ca-46217", "primary_business_name": "HOLLENCREST CAPITAL MANAGEMENT", "legal_name": "HOLLENCREST CAPITAL MANAGEMENT, LLC", "dbas": [ "HOLLENCREST CAPITAL MANAGEMENT" ], "city": "Newport Beach", "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": "1998-10-02", "years_registered": 27, "period": "2026-10-01", "filing_date": "2026-06-12", "carried_forward": false, "raum_total": 2866743435.0, "raum_discretionary": 1505458547.0, "raum_non_discretionary": 1361284888.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 19, "advisory_employees": 19, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 86511592.0, "count": 7 }, "individuals": { "raum": 255541670.0, "count": 295 }, "pension_profit_sharing": { "raum": 24689426.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 2212652756.0, "count": 166 }, "pooled_investment_vehicles": { "raum": 75754094.0, "count": 3 }, "corporations_other_businesses": { "raum": 211593897.0, "count": 6 } }, "compensation_types": [ "fixed", "other", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "financial_planning", "other", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_pooled_vehicles", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 3, "states_registered": [ "AZ", "CA", "CO", "FL", "NV", "OR", "TN", "TX", "UT", "WA" ], "websites": [ "https://hollencrest.com", "https://linkedin.com/company/hollencrest-capital-management" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/46217", "disclosure_items": [ { "item": "11.E(1)", "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "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?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" } ], "city_as_filed": "NEWPORT BEACH", "url": "https://advisorcensus.com/firm/hollencrest-capital-management-newport-beach-ca-46217", "display_name": "Hollencrest Capital Management", "summary": "Hollencrest Capital Management is an SEC-registered investment advisory firm in Newport Beach, CA, registered since 1998, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated June 12, 2026.", "citation": "AdvisorCensus. Hollencrest Capital Management (CRD 46217): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Performance-based fees", "Other" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients", "Selection of other advisers (including private fund managers)", "Other" ], "quick_answers": [ { "q": "How is Hollencrest Capital Management compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Hollencrest Capital Management reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees; other. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Hollencrest Capital Management located?", "a": "Hollencrest Capital Management's principal office is in Newport Beach, CA, according to its Form ADV." }, { "q": "Is Hollencrest Capital Management registered with the SEC or a state?", "a": "Hollencrest Capital Management is an SEC-registered investment advisory firm, registered since 1998. Status as filed: Approved. CRD 46217." }, { "q": "How much does Hollencrest Capital Management manage?", "a": "Hollencrest Capital Management reports $2,866,743,435 in regulatory assets under management in its Form ADV filing dated June 12, 2026 (53% discretionary)." }, { "q": "How have Hollencrest Capital Management's assets and staff changed since 2021?", "a": "In the Form ADV data for Hollencrest Capital Management: Regulatory assets under management: $1,776,995,840 in the October 2021 data and $2,866,743,435 in the October 2026 data, up 61%. Total employees: 15 in October 2021 and 19 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Hollencrest Capital Management serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (295); high net worth individuals (166); charitable organizations (7)." }, { "q": "Which custodians does Hollencrest Capital Management use?", "a": "Hollencrest Capital Management'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." }, { "q": "Does Hollencrest Capital Management report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.E(1) (self-regulatory organization's finding of a false statement or omission), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). 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/46217" }, { "q": "What changed in Hollencrest Capital Management's recent Form ADV filings?", "a": "In the April 2026 filing data: Registered or notice-filed in TN." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1776995840.0, "total_employees": 15, "filing_date": "2021-04-06" }, { "period": "2022-10-01", "regulatory_assets_under_management": 2281652990.0, "total_employees": 16, "filing_date": "2022-09-23" }, { "period": "2023-10-01", "regulatory_assets_under_management": 2054432885.0, "total_employees": 16, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 2369923423.0, "total_employees": 18, "filing_date": "2024-09-04" }, { "period": "2025-10-01", "regulatory_assets_under_management": 2667216370.0, "total_employees": 19, "filing_date": "2025-07-10" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2866743435.0, "total_employees": 19, "filing_date": "2026-06-12" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Registered or notice-filed in TN." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "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/hollencrest-capital-management-newport-beach-ca-46217.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 295, "fewer_than_5": false, "raum": 255541670.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 166, "fewer_than_5": false, "raum": 2212652756.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 3, "fewer_than_5": false, "raum": 75754094.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 24689426.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 7, "fewer_than_5": false, "raum": 86511592.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 6, "fewer_than_5": false, "raum": 211593897.0 } ], "disclosure_line": "Reports 3 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/46217", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }