State-registered wealth management firm Broker-dealer affiliated
Western Growers Financial Services
As of its Form ADV filed October 1, 2026, Western Growers Financial Services, a state-registered, broker-dealer affiliated wealth management firm in Irvine, California, reported $153.8 million in regulatory assets under management across 303 accounts, ranking #869 among all wealth firms in California by assets.
Registration
- Registration
- State-registered, Approved
- CRD number
- 115115
- SEC file number
- None (state-registered)
- Registered since
- August 30, 2001
- Latest Form ADV filing
- October 1, 2026
- Legal name
- WESTERN GROWERS FINANCIAL SERVICES, INC.
- Organized as
- Corporation
- Fiscal year ends
- June
- Other offices
- 0
Key figures
- Regulatory assets under management
- $153.8 million
- Discretionary
- $130.1 million (84.6%)
- Non-discretionary
- $23.7 million
- Accounts
- 303 (228 discretionary)
- Clients
- 303, approximate as reported
- Employees
- 3
- Advisory staff
- 2 performing investment advisory functions
- Average account
- $507,650
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 7, 2026 | $153.8 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 33 clients | $110.9 million | |
| Individuals (other than high net worth) 270 clients | $42.9 million | |
| Pension and profit sharing plans fewer than 5 clients | $0 | |
| Charitable organizations fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
- Fixed fees
- Commissions
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Selection of other advisers
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 3
- Also registered through a broker-dealer
- 3
- Employees who are IARs (Form ADV 5.B(3))
- 3
3 of the firm's 3 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
Our source has no Form ADV Item 11 detail for this firm. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in California
| Firm | City | RAUM |
|---|---|---|
| Newbury Capital Management, LLC | South Pasadena | $154.1 million |
| Millennium Investment Services | Van Nuys | $153.9 million |
| Alessandra Capital Management, LLC | Torrance | $153.5 million |
| R.H. Dinel Investment Counsel,inc. | Los Angeles | $153.5 million |
| Arta Finance | Mountain View | $153.4 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Western Growers Financial Services on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.wgfs.net
- Wealth management firms in California
Firm data as of October 7, 2026, from IA_FIRM_STATE_Feed_10_07_2026.xml.gz. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 7, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.