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Centaurus Financial

Wealth managementIndependent broker-dealer

Anaheim, CACRD 30833Updated

Centaurus Financial is an investment adviser based in Anaheim, CA, registered with the SEC since 1999. It provides financial planning and investment management. Its clients include individual clients, high-net-worth individuals, and corporations and other businesses. Its regulatory assets under management total $9.74 billion, as filed on 30 July 2026.

$9.74B
AUM
45.3K
Clients
$214K
AUM per individual client
426
Advisory staff
279
Offices
See fees
Annual fee

From Form ADV filed 30 July 2026SEC record

Services and clients

Centaurus Financial provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, publishing newsletters, market timing, and educational seminars. Financial planning was provided to 500 clients last fiscal year.

Centaurus Financial reports 45,336 clients. They include 44,727 individual clients, 467 high-net-worth individuals, and 142 corporations and other businesses. Of its assets, 33.0% ($3.21B across 12,186 accounts) are managed with discretion; $6.53B across 33,150 accounts are not. A wrap fee program the firm both sponsors and manages holds $5.21B.

Clients and assets by client type
Clients45,336 clients
Assets$9.74B
Share of clients and assets by client type
Client typeClientsAssets
Individuals (other than HNW)99%87%
High-net-worth individuals1%13%
Corporations and other businesses<1%<1%
Client breakdown and activity details
Individuals (other than HNW)
Clients
44,727
Regulatory AUM
$8.44B
AUM share
86.6%
Avg. per client
$189K
High-net-worth individuals
Clients
467
Regulatory AUM
$1.23B
AUM share
12.7%
Avg. per client
$2.64M
Corporations and other businesses
Clients
142
Regulatory AUM
$69.1M
AUM share
0.7%
Avg. per client
$487K

Total

Clients
45,336
Regulatory AUM
$9.74B
AUM share
100%
Avg. per client
$215K
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
500

Centaurus Financial fees and minimums

Centaurus Financial is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees); its fees and minimums are set out in its brochures on the SEC website.

Who owns Centaurus Financial

Federation of Financial owns 75% or more of Centaurus Financial. The leadership team of Centaurus Financial includes President Westley Hayes King and Chief Compliance Officer Jerome Victor Duhovic. It has 571 employees, 426 of them in advisory roles.

Leadership

Investment adviser representatives

432 representatives listed in the SEC register as of 9 October 2026.

  • Andrew Acosta
  • John Glenn Adams
  • David William Andersen
  • Chad Matthew Anderson
  • Levi Delany Anderson
  • Michelle Elise Anthony
  • James Martin Appel MR.
  • Aristo Crecencio Arana
  • Joel E Archer
  • Gordon Hisao Asahara
  • Anissa M Attard
  • Marco Bartolo Azizi

Staff

  • 571 employees
  • 426 in advisory functions
  • 426 state-registered reps
  • 552 broker-dealer reps
  • 529 insurance agents
Ownership chain
Centaurus Financial, Inc.· the adviser

  • Federation of Financial

    Control person · since March 1993

    Owns 75% or more of Centaurus Financial, Inc.

  • Federation of Financial Services

    Control person · since March 1993

    Owns 75% or more of Centaurus Financial, Inc.

  • Michael Peter Rubino

    since June 1999

    Owns 5% to 10% of Centaurus Financial, Inc.

  • Stephen Mark Kremer

    since June 1999

    Owns 5% to 10% of Centaurus Financial, Inc.

Growth and acquisitions

Centaurus Financial’s regulatory assets grew 2.3× from $4.26B (July 2021) to $9.74B (July 2026); clients rose from 24,655 to 45,336 and employees were 571 in both filings.

By annual filing
Measure
Figures from each annual filing
Centaurus Financial figures from each annual Form ADV filing
FiledRegulatory AUMClientsEmployeesOffices
July 2026$9.74B45,336571279
July 2025$7.34B38,049580279
July 2024$6.28B34,052580281
July 2023$5.21B30,814598287
July 2022$4.56B32,255616175
July 2021$4.26B24,655601137

Offices and registration details

Besides its headquarters, Centaurus Financial has 278 offices, with 26 listed addresses across 12 states.

Listed office addresses by state

California · 12 listed addresses

  • 2300 East Katella Ave, Suite 200, AnaheimHQ
  • 32129 Lindero Canyon Road, Westlake Village
  • 4695 Macarthur Court, Newport Beach
  • 3902 State Street, Santa Barbara
  • 2300 E. Katella Avenue, Anaheim
  • 2300 E. Katella Avenue, Anaheim
  • 818 North Mountain Ave., Upland
  • 2300 E. Katella Avenue, Anaheim
  • 1580 Oakland Road, San Jose
  • 1608 Aspenwall Road, Westlake Village
  • 2300 E. Katella Avenue, Anaheim
  • 8141 E. 2nd Street, Downey

Contact and registration details

Legal name
Centaurus Financial, Inc.
Headquarters
2300 East Katella Ave, Suite 200, Anaheim, CA 92806
Website
centaurusfinancial.com
Phone
714-456-1790
LinkedIn
@centaurus-financial-
X
@centaurusfin
SEC file
801-56882
Structure
California corporation
Fiscal year end
April

Custodians

Centaurus Financial uses Charles Schwab ($3.3B, 69%), Pershing ($783M, 16%) and SEI Investments Distribution ($702M, 15%) as custodians for its separately managed accounts. Centaurus Financial does not have custody of client assets.

Reported separately managed account assets by custodian
$4.79B
named custodians
  • PershingPershing LLC · Jersey City, NJ · $783M16%
  • Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $3.3B69%
  • SEI Investments DistributionSEI Investments Distribution Co. · Oaks, PA · $702M15%

Investments and reported holdings

At year end, Centaurus Financial’s separately managed accounts were mostly in stocks (51%) and funds (38%). Its reported 13F holdings for the quarter ended 31 March 2026 total $2.1M across 1,055 positions; the largest are Nvidia Corporation (2.8%), Apple Inc. (2.6%) and Tidal Trust Iii (2.5%).

What the accounts hold

Separately managed account assets by class, year end
  • Stocks51%
  • Funds38%
  • Bonds4%
    • State and local bonds2%
    • U.S. government and agency bonds1%
    • Investment grade corporate bonds1%
  • Cash6%
  • Other1%
    • Annuities1%

Reported 13F holdings

$2.1M
Reported 13F value
1,055
Positions
19.8%
In the 10 largest
—
Value vs. prior quarter
Ten largest positions, share of reported value
  1. Nvidia Corporation2.8%
  2. Apple Inc.2.6%
  3. Tidal Trust Iii · Nestyield Vision2.5%
  4. Tidal Trust Iii · Nestyield Dynami2.3%
  5. Amazon Com Inc.2.0%
  6. State Str SPDR S&P 500 ETF T · TR Unit1.7%
  7. Tidal Trust Iii · Nestyield Total1.7%
  8. Broadcom Inc.1.4%
  9. iShares TR · MSCI USA Qlt Fct1.4%
  10. Invesco Qqq TR · Unit Ser 11.4%

Together, the ten largest are 19.8% of reported value.

The 50 largest positions and quarterly changesQuarter ended 31 March 2026 · filed 18 May 2026

Common questions

How many clients does Centaurus Financial have?

Centaurus Financial has 45,336 clients and manages $9.74 billion for them, as of July 2026. They include 44,727 individual clients, 467 high-net-worth individuals, and 142 corporations and other businesses.

Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 July 2026

What services does Centaurus Financial offer?

Centaurus Financial provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, publishing newsletters, market timing, and educational seminars.

Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file

Which custodians does Centaurus Financial use?

Centaurus Financial’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $3.3B, Pershing LLC (Jersey City, NJ), with $783M and SEI Investments Distribution Co. (Oaks, PA), with $702M. Only custodians holding at least a tenth of those assets are named.

Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 July 2026

How many financial advisors does Centaurus Financial have?

Centaurus Financial has 426 investment adviser representatives registered with state securities authorities, out of 571 employees, and 426 perform investment advisory functions. 552 employees are registered representatives of a broker-dealer and 529 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 Centaurus Financial invest in?

At the end of its last fiscal year, Centaurus Financial’s separately managed accounts held 51% exchange-traded equities, 38% pooled vehicles (private funds and similar), 6% cash and equivalents, 2% state and local bonds, 1% U.S. government and agency bonds, 1% investment grade corporate bonds and 1% other. The 1% other category is described as: Annuities.

Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file

Who owns Centaurus Financial?

Centaurus Financial is owned through a holding company by Jerome Victor Duhovic, King Family Irrevocable Trust Uad 12/04/2020 and James R. King & Charice L. King Community Property Trust DTD 08/07/2003. Its direct owners are Federation of Financial (75% or more), Federation of Financial Services (75% or more), Michael Peter Rubino (5% to 10%) and Stephen Mark Kremer (5% to 10%).

Source: Form ADV Part 1A, Schedules A and B, filed 30 July 2026

How does Centaurus Financial get paid?

Centaurus Financial 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 Centaurus Financial registered with the SEC?

Yes, Centaurus Financial has been registered with the SEC as an investment adviser since 8 October 1999. Its CRD number is 30833 and its SEC file number is 801-56882.

Source: Form ADV Part 1A, Item 1, filed 30 July 2026; IAPD firm record

How do I contact Centaurus Financial?

Centaurus Financial’s main office is at 2300 East Katella Ave, Suite 200, Anaheim, CA 92806. Its phone number is 714-456-1790. Its website is centaurusfinancial.com.

Source: Form ADV Part 1A, Item 1.F, filed 30 July 2026

Sources and methodology

  1. Form ADV Part 1A, amendment filed 30 July 2026. Items 1, 5, 9, 11 and Schedules A, B and D.
  2. CENTAURUS FINANCIAL, INC. FORM ADV PART 2A, submitted 28 July 2026.
  3. SEC-filed document.
  4. IAPD firm record, CRD 30833.
  5. SEC registered adviser data, annual Form ADV amendments filed 30 July 2021 to 30 July 2026. Items 1.F and 5.
  6. SEC investment adviser representative register, as of 9 October 2026; loaded 10 October 2026.
  7. Form 13F-HR, filed 18 May 2026 for the quarter ended 31 March 2026.

Retrieved 15 October 2026. All are published by the SEC and may have been amended since. Disciplinary history is not yet shown here. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. The logo is reproduced for identification from Centaurus Financial, Inc., website.

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