Top 10 financial advisor firms in Carlsbad

13 SEC-registered financial advisor firms are headquartered in Carlsbad, CA, with $4.29B in combined regulatory assets under management. The largest by assets are Intelligence Driven Advisers ($882M), Financial Focus ($800M) and MKT Advisors ($464M).

13
Financial advisor firms: $4.29B
Their combined AUM: $238M
Median firm AUM: 2,922
Clients of the top 10

The 10 largest by assets

1
Intelligence Driven Advisers
RIA
$882M
Up to 1.00% a year
2
Financial Focus
RIA
$800M
Regulatory AUM
3
MKT Advisors
RIA
$464M
0.35% to 1.00% a year
4
Seaside Wealth Management
RIA
$459M
Up to 1.25% a year
5
Vistica Wealth Advisors
RIA
$260M
Up to 1.25% a year
6
Anchor Bay Capital
RIA
$247M
0.95% to 1.75% a year
7
Carlsbad Wealth Advisory Group
RIA
$238M
0.40% to 1.00% a year
8
MH & Associates Securities Management
RIA
$200M
0.50% to 1.00% a year
9
Frank Financial Services
RIA
$188M
1.00% to 2.00% a year
10
RG Financial
RIA
$158M
0.70% to 1.50% a year

Profiles of the top 10

No. 1 · RIA

Intelligence Driven Advisers

Intelligence Driven Advisers is an investment adviser based in Carlsbad, CA, registered with the SEC since 2018. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients and investment companies. Its regulatory assets under management total $882 million, as filed on 31 March 2026.

Intelligence Driven Advisers charges up to 1.00% a year for its Investment Management Services.

Regulatory AUM: $882M
Clients: 660
Advisory staff: 11
Fee schedule: Up to 1.00% a year
Custodians: Charles Schwab
Headquarters: 2792 Gateway Road, Carlsbad, CA 92009
Phone: 888-401-2083
Website: idawealth.com

No. 2 · RIA

Financial Focus

Financial Focus is an investment adviser based in Carlsbad, CA, registered with the SEC since 2018. It provides financial planning and investment management. Its clients include high-net-worth individuals, charitable organizations and individual clients. Its regulatory assets under management total $800 million, as filed on 29 January 2026.

Regulatory AUM: $800M
Clients: 584
Advisory staff: 5
Custodians: Charles Schwab, Assetmark Trust
Headquarters: 1925 Palomar Oaks Way, #107, Carlsbad, CA 92008
Phone: 760-431-3040
Website: financialfocusllc.com

No. 3 · RIA

MKT Advisors

MKT Advisors is an investment adviser based in Carlsbad, CA, registered with the SEC since 2012. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients and charitable organizations. Its regulatory assets under management total $464 million, as filed on 17 August 2026.

MKT Advisors charges 0.35%–1.00% a year for its Fees for Advisory Services.

Regulatory AUM: $464M
Clients: 383
Advisory staff: 4
Founded: 2012
Fee schedule: 0.35% to 1.00% a year
Custodians: Charles Schwab
Headquarters: 2888 Loker Ave, Suite 103, Carlsbad, CA 92010
Phone: 760-658-8780
Website: mktadvisorsllc.com

No. 4 · RIA

Seaside Wealth Management

Seaside Wealth Management is an investment adviser based in Carlsbad, CA, registered with the SEC since 2017. It provides financial planning and investment management. Its clients include high-net-worth individuals and individual clients. Its regulatory assets under management total $459 million, as filed on 19 February 2026.

Seaside Wealth Management charges up to 1.25% a year for its Asset Management.

Regulatory AUM: $459M
Clients: 380
Advisory staff: 11
Founded: 2011
Fee schedule: Up to 1.25% a year
Custodians: Charles Schwab
Headquarters: 6154 Innovation Way, Carlsbad, CA 92009
Phone: 760-730-8120
Website: seasidewealth.com

No. 5 · RIA

Vistica Wealth Advisors

Vistica Wealth Advisors is an investment adviser based in Carlsbad, CA, registered with the SEC since 2021. It provides financial planning and investment management. Its clients include high-net-worth individuals, pension and profit-sharing plans, and individual clients. Its regulatory assets under management total $260 million, as filed on 7 May 2026.

Vistica Wealth Advisors charges up to 1.25% a year for its Investment management services.

Regulatory AUM: $260M
Clients: 122
Advisory staff: 5
Fee schedule: Up to 1.25% a year
Custodians: Charles Schwab
Headquarters: 2121 Palomar Airport Road, Suite 160, Carlsbad, CA 92011
Phone: 760-854-4003
Website: visticawa.com

No. 6 · RIA

Anchor Bay Capital

Anchor Bay Capital is an investment adviser based in Carlsbad, CA, registered with the SEC since 2016. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and pension and profit-sharing plans. Its regulatory assets under management total $247 million, as filed on 23 March 2026.

Anchor Bay Capital charges 0.95%–1.75% a year for its Investment Management Services.

Regulatory AUM: $247M
Clients: 190
Advisory staff: 5
Founded: 1992
Fee schedule: 0.95% to 1.75% a year
Custodians: Charles Schwab
Headquarters: 5780 Fleet St., Suite 308, Carlsbad, CA 92008
Phone: 760-602-3470
Website: anchorbaycapital.com

No. 7 · RIA

Carlsbad Wealth Advisory Group

Carlsbad Wealth Advisory Group is an investment adviser based in Carlsbad, CA, registered with the SEC since 2016. It provides financial planning and investment management. Its clients include high-net-worth individuals and individual clients. Its regulatory assets under management total $238 million, as filed on 4 August 2026.

Carlsbad Wealth Advisory Group charges 0.40%–1.00% a year for its Investment Management Fee.

Regulatory AUM: $238M
Clients: 248
Advisory staff: 3
Founded: 2008
Fee schedule: 0.40% to 1.00% a year
Custodians: Charles Schwab
Headquarters: 2011 Palomar Airport RD Ste 101, Carlsbad, CA 92011
Phone: 760-607-0812
Website: carlsbadwealth.com

No. 8 · RIA

MH & Associates Securities Management

MH & Associates Securities Management is an investment adviser based in Carlsbad, CA, registered with the SEC since 1981. It provides investment management. Its clients include high-net-worth individuals and individual clients. Its regulatory assets under management total $200 million, as filed on 31 August 2026.

MH & Associates Securities Management charges 0.50%–1.00% a year for its Investment management.

Regulatory AUM: $200M
Clients: 75
Advisory staff: 3
Fee schedule: 0.50% to 1.00% a year
Custodians: Charles Schwab
Headquarters: 2888 Loker Avenue East, Suite 318, Carlsbad, CA 92010
Phone: 626-440-9694
Website: mhinvestments.net

No. 9 · RIA

Frank Financial Services

Frank Financial Services is an investment adviser based in Carlsbad, CA, registered with the SEC since 2021. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and corporations and other businesses. Its regulatory assets under management total $188 million, as filed on 16 February 2026.

Frank Financial Services charges 1.00%–2.00% a year for its Discretionary asset management.

Regulatory AUM: $188M
Clients: 144
Advisory staff: 2
Fee schedule: 1.00% to 2.00% a year
Minimum account: $500,000
Custodians: Charles Schwab
Headquarters: 2710 Loker Avenue West, Suite 230, Carlsbad, CA 92010
Phone: 760-438-3360
Website: frankfinancialadvisors.com

No. 10 · RIA

RG Financial

RG Financial is an investment adviser based in Carlsbad, CA, registered with the SEC since 2021. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients and business development companies. Its regulatory assets under management total $158 million, as filed on 31 March 2026.

RG Financial charges 0.70%–1.50% a year for its Asset Management.

Regulatory AUM: $158M
Clients: 136
Advisory staff: 1
Fee schedule: 0.70% to 1.50% a year
Custodians: Charles Schwab
Headquarters: 703 Palomar Airport Road, Suite 240, Carlsbad, CA 92011
Phone: 858-800-4176
Website: fontefinancial.com

Questions about financial advisors in Carlsbad

How many financial advisor firms are headquartered in Carlsbad?

13 SEC-registered financial advisor firms report their principal office in Carlsbad, CA, managing $4.29B in regulatory assets between them. The other 3 advisers headquartered in the city are broker-dealers, other kinds of wealth firm, or fund and institutional managers.

Source: Form ADV Part 1A, Items 1.F, 5.D and 5.F

What is the largest financial advisor firm in Carlsbad?

Intelligence Driven Advisers, with $882M in regulatory assets under management on its latest Form ADV. The next largest are Financial Focus ($800M) and MKT Advisors ($464M).

Source: Form ADV Part 1A, Item 5.F

How large is a typical financial advisor firm in Carlsbad?

The median firm manages $238M in regulatory assets. That is the midpoint of the 13 firms headquartered in Carlsbad.

Source: Form ADV Part 1A, Item 5.F

How much do financial advisors in Carlsbad charge?

Of the 10 largest firms, 9 publish an asset-based fee schedule for their main service in their brochure. The highest rate in those schedules runs from 1.00% to 2.00% of assets, depending on the firm; each firm's fee is in its profile above.

Source: Form ADV Part 2A brochures, Item 5

How can I check a financial advisor's record in Carlsbad?

Search the firm or the person on the SEC's Investment Adviser Public Disclosure site, adviserinfo.sec.gov, which shows registrations, Form ADV filings and any disclosures. Each firm profile in this directory links its SEC record.

Source: SEC Investment Adviser Public Disclosure

How is this list ordered?

By regulatory assets under management as filed on Form ADV, largest first. A firm is included when its principal office is in the city and most of its client assets belong to individuals and its type is RIA, which leaves out broker-dealers, wirehouses, RIA networks, digital advice, bank, insurance and family-office firms. A firm with only a branch office here is listed in its own headquarters city.

Source: Niva directory methodology

Carlsbad has 13 financial advisor firms; see every adviser in the city →

The 10 largest by assets

Profiles of the top 10

Questions about financial advisors in Carlsbad

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