SEC-registered wealth management firm Broker-dealer affiliated
Copley Financial Group, Inc.
As of its Form ADV filed July 13, 2026, Copley Financial Group, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in San Diego, California, reported $331.2 million in regulatory assets under management across 2,690 accounts, ranking #513 among all wealth firms in California by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 283070
- SEC file number
- 801-119967
- Registered since
- December 14, 2020
- Latest Form ADV filing
- July 13, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $331.2 million
- Discretionary
- $330.4 million (99.8%)
- Non-discretionary
- $763,074
- Accounts
- 2,690 (2,677 discretionary)
- Clients
- 2,690, approximate as reported
- Employees
- 8
- Advisory staff
- 7 performing investment advisory functions
- Average account
- $123,113
- Asset growth, 1 year
- 21.5% (from $272.7 million a year earlier)
- Asset growth, 3-year annual rate
- 12.5% (from $232.6 million three years earlier)
- Asset growth, 5-year annual rate
- 16.5% (from $154.2 million five years earlier)
- Client growth, 1 year
- 68.3% (from 1,598)
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 4, 2021 | $154.2 million |
| October 3, 2022 | $226.5 million |
| October 5, 2023 | $232.6 million |
| October 1, 2024 | $261.9 million |
| September 2, 2025 | $272.7 million |
| October 2, 2026 | $331.2 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 2,681 clients | $330.4 million | |
| High net worth individuals 9 clients | $763,074 |
How the firm is paid
- A percentage of assets under management
- Other
Advisory services
- Portfolio management for individuals or small businesses
- Selection of other advisers
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
- Other financial products
Financial industry affiliations (Item 7.A)
- Broker-dealer
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 10
- Also registered through a broker-dealer
- 8
- Employees who are IARs (Form ADV 5.B(3))
- 7
Designations held by the firm's IARs: ChFC 1.
9 of the firm's 10 IARs are 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 2 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 |
|---|---|---|
| Solano Wealth Advisors | Fairfield | $331.9 million |
| 5T Wealth, LLC | Napa | $331.4 million |
| Charles Fish Investments, Inc. | Irvine | $331.3 million |
| Yoder Wealth Management | Walnut Creek | $331.2 million |
| Insight Capital Management | Concord | $330.5 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Copley Financial Group, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: financialplannersandiego.com
- Wealth management firms 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.