{
  "crd_number": 332016,
  "slug": "southern-california-wealth-management-associates-rolling-hills-estates-ca-332016",
  "primary_business_name": "SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES",
  "legal_name": "SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES",
  "dbas": [],
  "city": "Rolling Hills Estates",
  "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": "state",
  "registration_status": "APPROVED",
  "registration_date": "2024-11-22",
  "years_registered": 1,
  "period": "2026-10-01",
  "filing_date": "2026-03-29",
  "carried_forward": false,
  "raum_total": 34000000.0,
  "raum_discretionary": 34000000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 3,
  "advisory_employees": 3,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "individuals": {
      "raum": 28000000.0,
      "count": 111
    },
    "high_net_worth_individuals": {
      "raum": 6000000.0,
      "count": 4,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "CA"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/332016",
  "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": "ROLLING HILLS ESTATES",
  "url": "https://advisorcensus.com/firm/southern-california-wealth-management-associates-rolling-hills-estates-ca-332016",
  "display_name": "Southern California Wealth Management Associates",
  "summary": "Southern California Wealth Management Associates is a state-registered investment advisory firm in Rolling Hills Estates, CA, registered since 2024, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 29, 2026.",
  "citation": "AdvisorCensus. Southern California Wealth Management Associates (CRD 332016): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Southern California Wealth Management Associates compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Southern California Wealth Management Associates reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Southern California Wealth Management Associates located?",
      "a": "Southern California Wealth Management Associates' principal office is in Rolling Hills Estates, CA, according to its Form ADV."
    },
    {
      "q": "Is Southern California Wealth Management Associates registered with the SEC or a state?",
      "a": "Southern California Wealth Management Associates is a state-registered investment advisory firm, registered since 2024. Status as filed: APPROVED. CRD 332016."
    },
    {
      "q": "How much does Southern California Wealth Management Associates manage?",
      "a": "Southern California Wealth Management Associates reports $34,000,000 in regulatory assets under management in its Form ADV filing dated March 29, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Southern California Wealth Management Associates serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (111); high net worth individuals (4)."
    },
    {
      "q": "Does Southern California Wealth Management Associates 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/332016"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/southern-california-wealth-management-associates-rolling-hills-estates-ca-332016.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 111,
      "fewer_than_5": false,
      "raum": 28000000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 4,
      "fewer_than_5": true,
      "raum": 6000000.0
    }
  ],
  "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/332016",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}