Anchor Bay Capital provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, insurance, and tax preparation. Financial planning was provided to 101–250 clients last fiscal year.
Anchor Bay Capital reports 190 clients. They include 142 individual clients, 45 high-net-worth individuals, and 3 pension and profit-sharing plans. Of its assets, 98.5% ($243M across 187 accounts) are managed with discretion; $3.77M across 4 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 75% | 19% |
| High-net-worth individuals | 24% | 80% |
| Pension and profit-sharing plans | 2% | 2% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 142 | $46.4M | 18.8% | $327K |
| High-net-worth individuals | 45 | $197M | 79.7% | $4.38M |
| Pension and profit-sharing plans | Fewer than 5 | $3.77M | 1.5% | $1.26M |
| Total | 190 | $247M | 100% | — |
- Clients
- 142
- Regulatory AUM
- $46.4M
- AUM share
- 18.8%
- Avg. per client
- $327K
- Clients
- 45
- Regulatory AUM
- $197M
- AUM share
- 79.7%
- Avg. per client
- $4.38M
- Clients
- Fewer than 5
- Regulatory AUM
- $3.77M
- AUM share
- 1.5%
- Avg. per client
- $1.26M
Total
- Clients
- 190
- Regulatory AUM
- $247M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 101–250
Anchor Bay Capital charges 0.95%–1.75% a year for its Investment Management Services. The fee is billed in advance or in arrears and is negotiable. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial planning services
- Fees range from $500 to $2,500, set by plan complexity and time (about $150 an hour, with a floor and cap); no charge for clients above $250,000 with the adviser.
- Retirement plan services
- Plan fees range from 0.25% to 0.90% a year and participant fees from 0.50% to 0.75% a year, negotiable.
James Allen owns 25% to 50% of Anchor Bay Capital. The leadership team of Anchor Bay Capital includes President James Allen and Chief Compliance Officer Matthew Large. It has 6 employees, 5 of them in advisory roles.
Staff
- 6 employees
- 5 in advisory functions
- 5 state-registered reps
- 4 broker-dealer reps
- 2 insurance agents
- Owns 25% to 50% of Anchor Bay Capital, Inc.
James Allen
Control person · since June 2020
- Owns 10% to 25% of Anchor Bay Capital, Inc.
Matthew Large
Control person · since January 2016
- Owns 10% to 25% of Anchor Bay Capital, Inc.
Tanner Wrisley
since February 2022
Anchor Bay Capital’s regulatory assets grew 1.6× from $154M (March 2021) to $247M (March 2026); clients were 190 in both filings and employees fell from 8 to 6.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $247M | 190 | 6 | 2 |
| Mar 2025March 2025 | $219M | 190 | 6 | 2 |
| Mar 2024March 2024 | $209M | 206 | 5 | 2 |
| Mar 2023March 2023 | $182M | 240 | 5 | 2 |
| Mar 2022March 2022 | $172M | 173 | 6 | 2 |
| Mar 2021March 2021 | $154M | 189 | 8 | 2 |
Besides its headquarters, Anchor Bay Capital has 1 office, with 2 listed addresses in 1 state.
California · 2 listed addresses
- 5780 Fleet St., Suite 308, CarlsbadHQ
- 17332 Irvine BLVD., Tustin
Contact and registration details
- Legal name
- Anchor Bay Capital, Inc.
- Headquarters
- 5780 Fleet St., Suite 308, Carlsbad, CA 92008
- Website
- anchorbaycapital.com
- Phone
- 760-602-3470
- @anchor-bay-capital-inc-
- SEC file
- 801-107983
- Founded
- 1992
- Structure
- California corporation
- Fiscal year end
- December
Anchor Bay Capital’s named custodian for separately managed accounts is Charles Schwab ($243M). Anchor Bay Capital does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $243M100%
At year end, Anchor Bay Capital’s separately managed accounts were mostly in stocks (74%) and bonds (19%). Its reported 13F holdings for the quarter ended 30 June 2026 total $185M across 341 positions; the largest are Mckesson Corp. (8.2%), Amazon Com Inc. (2.7%) and Dimensional ETF Trust (2.4%).
What the accounts hold
- Stocks74%
- Funds5%
- Bonds19%
- U.S. government and agency bonds13%
- Investment grade corporate bonds5%
- State and local bonds1%
- Cash2%
How many clients does Anchor Bay Capital have?
Anchor Bay Capital has 190 clients and manages $247 million for them, as of March 2026. They include 142 individual clients, 45 high-net-worth individuals, and 3 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 23 March 2026
What services does Anchor Bay Capital offer?
Anchor Bay Capital provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, insurance, and tax preparation.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Anchor Bay Capital charge?
Anchor Bay Capital charges 0.95%–1.75% a year for its Investment Management Services. The fee is billed in advance or in arrears and is negotiable.
Which custodians does Anchor Bay Capital use?
Anchor Bay Capital’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $243M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 March 2026
How many financial advisors does Anchor Bay Capital have?
Anchor Bay Capital has 5 investment adviser representatives registered with state securities authorities, out of 6 employees, and 5 perform investment advisory functions. 4 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Anchor Bay Capital invest in?
At the end of its last fiscal year, Anchor Bay Capital’s separately managed accounts held 74% exchange-traded equities, 13% U.S. government and agency bonds, 5% investment grade corporate bonds, 5% registered funds (mutual funds, ETFs, BDCs), 2% cash and equivalents and 1% state and local bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Anchor Bay Capital?
Anchor Bay Capital’s direct owners are Matthew Large, James Allen and Tanner Wrisley, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 23 March 2026
How does Anchor Bay Capital get paid?
Anchor Bay Capital is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Anchor Bay Capital?
Anchor Bay Capital’s main office is at 5780 Fleet St., Suite 308, Carlsbad, CA 92008. Its phone number is 760-602-3470. Its website is anchorbaycapital.com.
