{"url":"https://nivawealth.com/firms/secura-financial-137324","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/137324","regulatoryAum":319926000,"crd":"137324","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6586881","suffix":null,"lastName":"Amiri","firstName":"Faramarz","middleName":null},{"crd":"5039985","suffix":null,"lastName":"BADER","firstName":"MICHAEL","middleName":"BRUCE"},{"crd":"13891","suffix":null,"lastName":"BARTH","firstName":"HARRY","middleName":"MICHAEL"},{"crd":"5493769","suffix":null,"lastName":"HATCHER","firstName":"CASEY","middleName":"LEE"},{"crd":"2289905","suffix":null,"lastName":"HONEA","firstName":"BRENT","middleName":"LEE"},{"crd":"6743788","suffix":null,"lastName":"Jackman","firstName":"Greggory","middleName":null},{"crd":"2501641","suffix":null,"lastName":"JACKMAN","firstName":"RICHARD","middleName":"W"},{"crd":"8314827","suffix":null,"lastName":"KIKUCHI","firstName":"RICHARD","middleName":null},{"crd":"6444241","suffix":null,"lastName":"PALENCIA","firstName":"SAUL","middleName":"ABIEL"},{"crd":"5455271","suffix":null,"lastName":"STONE","firstName":"JASON","middleName":"DOUGLAS"},{"crd":"4469194","suffix":null,"lastName":"STROM","firstName":"KRAIG","middleName":"NOEL"}],"total":11,"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":"2021-03-19","regulatoryAum":188001355,"clients":681,"employees":11,"offices":1},{"filedOn":"2022-03-25","regulatoryAum":222099502,"clients":510,"employees":11,"offices":1},{"filedOn":"2023-03-13","regulatoryAum":206964009,"clients":612,"employees":10,"offices":1},{"filedOn":"2024-03-21","regulatoryAum":230449000,"clients":914,"employees":10,"offices":1},{"filedOn":"2025-04-30","regulatoryAum":261784000,"clients":986,"employees":9,"offices":1},{"filedOn":"2026-07-24","regulatoryAum":319926000,"clients":681,"employees":9,"offices":1}],"secFileNumber":"801-113072","legalName":"Secura Financial, LLC","displayName":"Secura Financial","slug":"secura-financial-137324","website":"https://securawm.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"333 City Boulevard West,, Suite 2050","city":"Orange","state":"CA","stateName":"California","country":"United States","postalCode":"92868-2944"},"tradeNames":[],"registration":{"secApproved":"25 April 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":471726.5973254086,"staff":{"employees":9,"advisory":9,"brokerDealerReps":7,"insuranceAgents":9,"promoters":3},"aum":{"regulatory":319926000,"discretionary":319926000,"discretionaryAccounts":1242,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":245,"regulatoryAum":60785000},{"label":"High-net-worth individuals","clients":428,"regulatoryAum":256687000},{"label":"Pension and profit-sharing plans","clients":7,"regulatoryAum":2359000},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":95000}],"feePrograms":[{"role":"other","program":"Financial Planning","summary":"Financial planning fees are negotiable and usually a flat fee; hourly work may be charged at up to $500 an hour, with a fixed fee up to $20,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044010","versionId":1044010,"submittedOn":"2026-05-05","documentName":"ADV2A AND 2B SEC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T09:06:41.28404+00:00","documents":[{"name":"ADV2A AND 2B SEC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044010","versionId":1044010,"submittedOn":"2026-05-05"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":97655465},{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Fort Mill, SC","smaAssets":213086266},{"name":"Lincoln Financial Group","shortName":"Lincoln Financial Group","location":"Radnor, PA","smaAssets":9184213}],"custodyNote":"Secura Financial does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Harry Barth","title":"Member/Chief Compliance Officer","crd":"13891"},{"name":"Casey Hatcher","title":"Member","crd":"5493769"},{"name":"Richard Jackman","title":"Member/Chief Investment Officer","crd":"2501641"},{"name":"Jason Stone","title":"Managing Director/Member","crd":"5455271"}],"ownership":[{"label":"Harry Barth","detail":"Member/chief compliance officer in the 25% to 50% ownership band and a control person, since November 1997."},{"label":"Richard Jackman","detail":"Member/chief investment officer in the 25% to 50% ownership band and a control person, since November 2019."},{"label":"Jason Stone","detail":"Managing director/member in the 25% to 50% ownership band and a control person, since November 2019."},{"label":"Casey Hatcher","detail":"Member in the 5% to 10% ownership band, since November 2019."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"333 City Boulevard West,, Suite 2050","city":"Orange","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"714-704-6616","stateRegisteredReps":9,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":26},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":6},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Derivatives","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":47},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":14,"detail":"Non Traded Reits, Fee Based Variable Annuities, Registered Investment\nCompanies, Business Development Companies, Private Equity."}],"privateFunds":0},"sources":{"adv1FilingDate":"24 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/137324/PDF/137324.pdf","brochureDate":"5 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044010","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 Secura Financial have?","answer":"Secura Financial has 681 clients and manages $320 million for them, as of July 2026. They include 428 high-net-worth individuals, 245 individual clients, and 7 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Secura Financial offer?","answer":"Secura Financial provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, 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 Secura Financial use?","answer":"Secura Financial’s separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $213M, Charles Schwab & Co., Inc. (Westlake, TX), with $97.7M and Lincoln Financial Group (Radnor, PA), with $9.18M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Secura Financial have?","answer":"Secura Financial has 9 investment adviser representatives registered with state securities authorities, out of 9 employees, and 9 perform investment advisory functions. 7 employees are registered representatives of a broker-dealer and 9 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 Secura Financial invest in?","answer":"At the end of its last fiscal year, Secura Financial’s separately managed accounts held 47% registered funds (mutual funds, ETFs, BDCs), 26% exchange-traded equities, 14% other, 6% U.S. government and agency bonds, 2% derivatives, 1% non-exchange-traded equities, 1% state and local bonds, 1% investment grade corporate bonds, 1% pooled vehicles (private funds and similar) and 1% cash and equivalents. The 14% other category is described as: Non Traded Reits, Fee Based Variable Annuities, Registered Investment\nCompanies, Business Development Companies, Private Equity.","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 Secura Financial?","answer":"Secura Financial’s direct owners are Harry Barth, Richard Jackman, Jason Stone and Casey Hatcher, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 24 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Secura Financial get paid?","answer":"Secura Financial is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. 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 Secura Financial?","answer":"Secura Financial’s main office is at 333 City Boulevard West,, Suite 2050, Orange, CA 92868-2944. Its phone number is 714-704-6616. Its website is securawm.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"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."}