{ "crd_number": 143996, "slug": "worthpointe-la-jolla-ca-143996", "primary_business_name": "WORTHPOINTE", "legal_name": "WORTHPOINTE, LLC", "dbas": [], "city": "La Jolla", "state": "CA", "country": "United States", "cbsa_code": "41740", "metro": { "cbsa_code": "41740", "common_name": "San Diego", "msa_name": "San Diego-Chula Vista-Carlsbad, CA", "path": "/advisors/ca/san-diego" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2007-06-11", "years_registered": 19, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 1057380274.0, "raum_discretionary": 1057380274.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 16, "advisory_employees": 9, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 460163.0, "count": 1, "fewer_than_5": true }, "individuals": { "raum": 140993233.0, "count": 389 }, "state_municipal": { "raum": 33527574.0, "count": 1, "fewer_than_5": true }, "pension_profit_sharing": { "raum": 12005682.0, "count": 2, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 870393622.0, "count": 233 } }, "compensation_types": [ "fixed", "hourly", "other", "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", "FL", "IL", "LA", "NE", "NJ", "NM", "NY", "OK", "OR", "TX", "WA", "WY" ], "websites": [ "https://facebook.com/WORTHPOINTE", "https://instagram.com/WORTHPOINTE?HL=EN", "https://linkedin.com/COMPANY/3197696", "https://twitter.com/WORTHPOINTE?LANG=EN", "https://worthpointeinvest.com", "https://x.com/WorthPointe" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/143996", "city_as_filed": "LA JOLLA", "url": "https://advisorcensus.com/firm/worthpointe-la-jolla-ca-143996", "display_name": "Worthpointe", "summary": "Worthpointe is an SEC-registered investment advisory firm in La Jolla, CA, registered since 2007, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Worthpointe (CRD 143996): 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)", "Other" ], "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 Worthpointe compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Worthpointe reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other." }, { "q": "Where is Worthpointe located?", "a": "Worthpointe's principal office is in La Jolla, CA, according to its Form ADV; the April 2026 filing also lists 4 other offices (Schedule D, Section 1.F)." }, { "q": "Is Worthpointe registered with the SEC or a state?", "a": "Worthpointe is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 143996." }, { "q": "How much does Worthpointe manage?", "a": "Worthpointe reports $1,057,380,274 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)." }, { "q": "How have Worthpointe's assets and staff changed since 2021?", "a": "In the Form ADV data for Worthpointe: Regulatory assets under management: $692,701,264 in the October 2021 data and $1,057,380,274 in the October 2026 data, up 53%. Total employees: 15 in October 2021 and 16 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Worthpointe serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (389); high net worth individuals (233); pension and profit sharing plans (but not the plan participants or government pension plans) (2)." }, { "q": "Which custodians does Worthpointe use?", "a": "Worthpointe'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 Worthpointe 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/143996" }, { "q": "Does Worthpointe state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 31, 2026 says: \"WorthPointe typically requires a minimum of $500,000 in assets under managment, but may lower or waive this minimum in WorthPointe's sole discretion.\"" }, { "q": "What changed in Worthpointe's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 10 to 9. Regulatory assets under management went from $885,560,603 to $1,057,380,274 (+19%). No longer lists an office in Bedford, TX. No longer lists an office in San Diego, CA. No longer lists an office in Willow Park, TX." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 692701264.0, "total_employees": 15, "filing_date": "2021-09-14" }, { "period": "2022-10-01", "regulatory_assets_under_management": 816826006.0, "total_employees": 15, "filing_date": "2022-03-25" }, { "period": "2023-10-01", "regulatory_assets_under_management": 733347335.0, "total_employees": 16, "filing_date": "2023-03-22" }, { "period": "2024-10-01", "regulatory_assets_under_management": 757672737.0, "total_employees": 16, "filing_date": "2024-09-05" }, { "period": "2025-10-01", "regulatory_assets_under_management": 885560603.0, "total_employees": 16, "filing_date": "2025-07-11" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1057380274.0, "total_employees": 16, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 10 to 9.", "Regulatory assets under management went from $885,560,603 to $1,057,380,274 (+19%).", "No longer lists an office in Bedford, TX.", "No longer lists an office in San Diego, CA.", "No longer lists an office in Willow Park, TX." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 31, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$500,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": null, "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: $500,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "WorthPointe typically requires a minimum of $500,000 in assets under managment, but may lower or waive this minimum in WorthPointe's sole discretion." ] } ], "quotes": [ "WorthPointe typically requires a minimum of $500,000 in assets under managment, but may lower or waive this minimum in WorthPointe's sole discretion." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "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/worthpointe-la-jolla-ca-143996.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 389, "fewer_than_5": false, "raum": 140993233.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 233, "fewer_than_5": false, "raum": 870393622.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 2, "fewer_than_5": true, "raum": 12005682.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 1, "fewer_than_5": true, "raum": 460163.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 1, "fewer_than_5": true, "raum": 33527574.0 } ], "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/143996", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }