{"url":"https://nivawealth.com/firms/davies-financial-advisors-139764","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/139764","regulatoryAum":123078109,"crd":"139764","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3275556","suffix":null,"lastName":"DAVIES","firstName":"ANDREW","middleName":"JAMES"},{"crd":"6858931","suffix":null,"lastName":"Davies","firstName":"Lyndsay","middleName":null},{"crd":"5213817","suffix":null,"lastName":"Simmons","firstName":"Justin","middleName":null}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2023-07-17","regulatoryAum":118478524,"clients":180,"employees":7,"offices":1},{"filedOn":"2024-05-14","regulatoryAum":165308484,"clients":209,"employees":8,"offices":1},{"filedOn":"2025-03-12","regulatoryAum":288171244,"clients":301,"employees":11,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":123078109,"clients":171,"employees":10,"offices":1}],"secFileNumber":"801-126564","legalName":"Davies Financial Advisors, Inc.","displayName":"Davies Financial Advisors","slug":"davies-financial-advisors-139764","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"25109 Jefferson Ave, Suite 205","city":"Murrieta","state":"CA","stateName":"California","country":"United States","postalCode":"92562"},"tradeNames":[],"registration":{"secApproved":"15 September 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":719268.952,"staff":{"employees":10,"advisory":6,"brokerDealerReps":0,"insuranceAgents":4,"promoters":1},"aum":{"regulatory":123078109,"discretionary":123078109,"discretionaryAccounts":173,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":9},"clientTypes":[{"label":"Individuals (other than HNW)","clients":104,"regulatoryAum":25275704},{"label":"High-net-worth individuals","clients":21,"regulatoryAum":64632915},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":1665324},{"label":"Corporations and other businesses","clients":46,"regulatoryAum":31504166}],"feePrograms":[{"role":"other","program":"Financial Planning Services","summary":"Hourly financial planning is billed at $250 to $500 per hour, or a fixed fee typically from $7,500 to $150,000 per engagement; negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031854","versionId":1031854,"submittedOn":"2026-03-30","documentName":"2026 ADV PART 2 BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T09:08:45.083813+00:00","documents":[{"name":"2026 ADV PART 2 BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031854","versionId":1031854,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":187725990},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":100445253}],"custodyNote":"Davies Financial Advisors has custody of $64.3M in client assets for 98 clients.","otherCustodians":[],"leadership":[{"name":"Andrew Davies","title":"President and CCO","crd":"3275556"},{"name":"Shaunie Davies","title":"Shareholder","crd":"5108608"}],"ownership":[{"label":"Andrew Davies","detail":"President and cco in the 50% to 75% ownership band and a control person, since January 2004."},{"label":"Shaunie Davies","detail":"Shareholder in the 50% to 75% ownership band and a control person, since January 2004."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"25109 Jefferson Ave, Suite 205","city":"Murrieta","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"951-677-3960","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":20},{"label":"U.S. state and local bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":48},{"label":"Cash and cash equivalents","percent":32}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/139764/PDF/139764.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031854","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Davies Financial Advisors have?","answer":"Davies Financial Advisors has 171 clients and manages $123 million for them, as of March 2026. They include 104 individual clients, 46 corporations and other businesses, and 21 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Davies Financial Advisors offer?","answer":"Davies Financial Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Davies Financial Advisors use?","answer":"Davies Financial Advisors’ separately managed account assets are held at National Financial Services LLC (Boston, MA), with $188M and Charles Schwab & Co., Inc. (Westlake, TX), with $100M. 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 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Davies Financial Advisors have?","answer":"Davies Financial Advisors has 6 investment adviser representatives registered with state securities authorities, out of 10 employees, and 6 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 4 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Davies Financial Advisors invest in?","answer":"At the end of its last fiscal year, Davies Financial Advisors’ separately managed accounts held 48% registered funds (mutual funds, ETFs, BDCs), 32% cash and equivalents, 20% exchange-traded equities and 4% 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Davies Financial Advisors?","answer":"Davies Financial Advisors’ direct owners are Andrew Davies (50% to 75%) and Shaunie Davies (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Davies Financial Advisors get paid?","answer":"Davies 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Davies Financial Advisors?","answer":"Davies Financial Advisors’ main office is at 25109 Jefferson Ave, Suite 205, Murrieta, CA 92562. Its phone number is 951-677-3960.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/davies-financial-advisors-139764/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-31","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2020296/000202029626000003/0002020296-26-000003-index.html","totalValue":14133,"positionCount":1,"top10Share":1,"top10":[{"issuer":"ALPHABET INC","titleOfClass":"CAP STK CL C","cusip":"02079K107","value":14133,"shares":40,"shareType":"SH","priorValue":227193,"priorShares":792}],"positionsListed":1,"positions":[{"issuer":"ALPHABET INC","titleOfClass":"CAP STK CL C","cusip":"02079K107","value":14133,"shares":40,"shareType":"SH","priorValue":227193,"priorShares":792}]},"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}