Arlington Financial Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, education planning, estate planning, insurance, philanthropic planning, and tax planning. Financial planning was provided to 1–10 clients last fiscal year.
Arlington Financial Advisors reports 631 clients. They include 328 individual clients, 267 high-net-worth individuals, and 36 pension and profit-sharing plans. Of its assets, 100.0% ($1.24B across 2,575 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $237M. It advised 3 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 52% | 11% |
| High-net-worth individuals | 42% | 83% |
| Pension and profit-sharing plans | 6% | 6% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 328 | $130M | 10.5% | $396K |
| High-net-worth individuals | 267 | $1.03B | 83.1% | $3.85M |
| Pension and profit-sharing plans | 36 | $79M | 6.4% | $2.19M |
| Total | 631 | $1.24B | 100% | $1.96M |
- Clients
- 328
- Regulatory AUM
- $130M
- AUM share
- 10.5%
- Avg. per client
- $396K
- Clients
- 267
- Regulatory AUM
- $1.03B
- AUM share
- 83.1%
- Avg. per client
- $3.85M
- Clients
- 36
- Regulatory AUM
- $79M
- AUM share
- 6.4%
- Avg. per client
- $2.19M
Total
- Clients
- 631
- Regulatory AUM
- $1.24B
- AUM share
- 100%
- Avg. per client
- $1.96M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 3
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Arlington Financial Advisors charges 0.50%–1.50% a year for its Wrap Portfolio Management. The fee is billed in advance and is negotiable. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning and Consulting
- Billed hourly, with a maximum hourly fee of $375, or as a flat fee from $4,950 to $10,000; 50% of the fee is due at signing.
- Retirement Plan Consulting
- Billed hourly up to $375, as a flat fee from $750 to $10,000, or as a percentage of managed plan assets not exceeding 1.00%.
The leadership team of Arlington Financial Advisors includes Chief Compliance Officer John Lorenz. It has 16 employees, 8 of them in advisory roles.
Leadership
- John LorenzManaging Member & Chief Compliance Officer
- Arthur SwalleyManaging Member
- Dianne DuvaManaging Member
- Joseph WeilandManaging Member
- Richard HughesManaging Member
- Cody MakelaManaging Member
Investment adviser representatives
8 representatives listed in the SEC register as of 9 October 2026.
- Dianne Gayoski Duva
- Richard Wells Hughes
- John Alfred Lorenz
- Cody Allan Makela
- Allison Meier
- Arthur Gentry Swalley
- Joseph Richard Weiland
- Michael Eun Kyu Yang
Staff
- 16 employees
- 8 in advisory functions
- 8 state-registered reps
- Owns 10% to 25% of Arlington Financial Advisors, LLC
Arthur Swalley
Control person · since April 2016
- Owns 10% to 25% of Arlington Financial Advisors, LLC
Dianne Duva
Control person · since April 2016
- Owns 10% to 25% of Arlington Financial Advisors, LLC
John Lorenz
Control person · since April 2016
- Owns 10% to 25% of Arlington Financial Advisors, LLC
Joseph Weiland
Control person · since April 2016
- Owns 10% to 25% of Arlington Financial Advisors, LLC
Richard Hughes
Control person · since April 2016
- Owns 5% to 10% of Arlington Financial Advisors, LLC
Cody Makela
since January 2021
Arlington Financial Advisors’ regulatory assets grew 1.6× from $753M (March 2021) to $1.24B (February 2026); clients rose from 450 to 631 and employees from 9 to 16.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| February 2026 | $1.24B | 631 | 16 | 1 |
| July 2025 | $1.04B | 591 | 15 | 1 |
| March 2024 | $945M | 544 | 102 | 1 |
| March 2023 | $741M | 490 | 10 | 1 |
| July 2022 | $881M | 539 | 10 | 2 |
| March 2021 | $753M | 450 | 9 | 1 |
Besides its headquarters, Arlington Financial Advisors has 0 offices, with 1 listed address in California.
California · 1 listed address
- 100 E. De La Guerra St, Santa BarbaraHQ
Contact and registration details
- Legal name
- Arlington Financial Advisors, LLC
- Headquarters
- 100 E. De La Guerra St, Santa Barbara, CA 93101
- Phone
- 805-699-7300
- @arlington-financial-advisors
- SEC file
- 801-107857
- Founded
- 2010
- Structure
- California LLC
- Fiscal year end
- December
Arlington Financial Advisors uses Charles Schwab ($1.24B) as custodian for its separately managed accounts. Arlington Financial Advisors has custody of $52.3M in client assets for 68 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $1.24B100%
At year end, Arlington Financial Advisors’ separately managed accounts were mostly in funds (73%) and stocks (12%). Its reported 13F holdings for the quarter ended 30 June 2026 total $787M across 107 positions; the largest are Capital Group Gbl Growth EQT (7.8%), Dimensional ETF Trust (6.9%) and Harbor ETF Trust (6.7%).
What the accounts hold
- Stocks12%
- Funds73%
- Bonds7%
- Cash8%
Reported 13F holdings
- $787M
- Reported 13F value
- 107
- Positions
- 53.5%
- In the 10 largest
- +12.2%
- Value vs. prior quarter
- Capital Group Gbl Growth EQT · Shs Creat Unit7.8%
- Dimensional ETF Trust · World Equity ETF6.9%
- Harbor ETF Trust · Internatnal Comp6.7%
- Schwab Strategic TR · Fundamental Intl5.1%
- First TR Exchange-traded FD · Nasdq Cln Edge5.0%
- American Centy ETF TR · Avantis Emgmkt4.9%
- J P Morgan Exchange Traded F · Active Bond ETF4.9%
- ETF Ser Solutions · Distillate US4.2%
- Vanguard Malvern Fds · Strm Infproidx4.2%
- J P Morgan Exchange Traded F · Active Value ETF3.8%
Together, the ten largest are 53.5% of reported value.
How many clients does Arlington Financial Advisors have?
Arlington Financial Advisors has 631 clients and manages $1.24 billion for them, as of February 2026. They include 328 individual clients, 267 high-net-worth individuals, and 36 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 25 February 2026
What services does Arlington Financial Advisors offer?
Arlington Financial Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, education planning, estate planning, insurance, philanthropic planning, and tax planning.
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 Arlington Financial Advisors charge?
Arlington Financial Advisors charges 0.50%–1.50% a year for its Wrap Portfolio Management. The fee is billed in advance and is negotiable.
Source: ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE, filed 25 February 2026
Which custodians does Arlington Financial Advisors use?
Arlington Financial Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $1.24B. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 February 2026
How many financial advisors does Arlington Financial Advisors have?
Arlington Financial Advisors has 8 investment adviser representatives registered with state securities authorities, out of 16 employees, and 8 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Arlington Financial Advisors invest in?
At the end of its last fiscal year, Arlington Financial Advisors’ separately managed accounts held 73% registered funds (mutual funds, ETFs, BDCs), 12% exchange-traded equities, 8% cash and equivalents and 7% 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 Arlington Financial Advisors?
Arlington Financial Advisors’ direct owners are Arthur Swalley, Dianne Duva, John Lorenz, Joseph Weiland, Richard Hughes and Cody Makela, each holding 25% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 25 February 2026
How does Arlington Financial Advisors get paid?
Arlington Financial Advisors 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
Is Arlington Financial Advisors registered with the SEC?
Yes, Arlington Financial Advisors has been registered with the SEC as an investment adviser since 18 May 2016. Its CRD number is 283288 and its SEC file number is 801-107857.
Source: Form ADV Part 1A, Item 1, filed 25 February 2026; IAPD firm record
How do I contact Arlington Financial Advisors?
Arlington Financial Advisors’ main office is at 100 E. De La Guerra St, Santa Barbara, CA 93101. Its phone number is 805-699-7300. Its website is arlingtonfinancialadvisors.com.