SEC-registered independent wealth management RIA
Haven Capital Group
As of its Form ADV filed March 31, 2026, Haven Capital Group, an SEC-registered independent wealth management RIA in Westlake Village, California, reported $143.9 million in regulatory assets under management across 125 accounts, ranking #862 among independent RIAs in California by assets.
Registration
- Main office
- Westlake Village, CA
- Registration
- SEC-registered, Approved
- CRD number
- 149641
- SEC file number
- 801-130171
- Registered since
- May 10, 2024
- Latest Form ADV filing
- March 31, 2026
- Legal name
- HAVEN CAPITAL GROUP, INC.
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $143.9 million
- Discretionary
- $143.9 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 125 (125 discretionary)
- Clients
- 118, approximate as reported
- Employees
- 1
- Advisory staff
- 1 performing investment advisory functions
- Average account
- $1.2 million
- Asset growth, 1 year
- 1.1% (from $142.4 million a year earlier)
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- -7.8% (from 128)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. 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 independent wealth management RIAs.
| Ranking | Nationally | In California | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #6,570 | #862 | $143.9 million |
| Fastest-growing independent RIAs over one year | #6,268 | #827 | 1.1%from $142.4 million |
| Independent RIAs with the biggest asset gains over one year | #6,712 | #855 | $1.5 million |
| Independent RIAs with the most clients | #7,977 | #943 | 118 |
| Independent RIAs with the fastest client growth over one year | #5,149 | #622 | -7.8%from 128 |
| Independent RIAs with the most accounts | #10,410 | #1,283 | 125 |
| Independent RIAs with the most advisory staff | #10,188 | #1,270 | 1 |
| Independent RIAs with the most high net worth clients | #3,771 | #489 | 82 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $28.7 million |
| October 3, 2011 | $28.7 million |
| October 1, 2024 | $118.9 million |
| September 2, 2025 | $142.4 million |
| October 2, 2026 | $143.9 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 82 clients | $130.7 million | |
| Individuals (other than high net worth) 36 clients | $6.6 million | |
| Pension and profit sharing plans fewer than 5 clients | $5.6 million | |
| Charitable organizations fewer than 5 clients | $1.0 million | |
| Corporations or other businesses fewer than 5 clients | $2,635 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
Financial planning clients (Item 5.H): 11-25.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Real estate broker, dealer or agent
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 1
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 1
Designations held by the firm's IARs: CFA 1.
1 of the firm's 1 IAR is registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. 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 |
|---|---|---|
| Tactivest, LLC | San Francisco | $144.0 million |
| Aqua Capital Advisors | Los Angeles | $143.8 million |
| Procore Advisors, LLC | Newport Beach | $143.7 million |
| Fog City Advisors, LLC | Albany | $143.6 million |
| Mayfield Advisors, Inc. | Palo Alto | $143.5 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Haven Capital Group on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.havencapitalgroup.com
- Independent RIAs in California
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.