ANCHOR BAY CAPITAL, INC.
Adviser information for ANCHOR BAY CAPITAL, INC. last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 206 | $205.9M |
| Non-Discretionary | 4 | $2.6M |
| Total | 210 | $208.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 158 | $51.4M |
| HNW Individuals | 44 | $154.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $2.6M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 10 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-107983 |
|---|---|
| SEC ERA File Number | 801-107983 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 116913 |
| Legal Entity Identifier | None |
Principal Office
5780 FLEET ST.SUITE 308
CARLSBAD
CA
United States
Monday - Friday, 6:30 AM TO 4:30 PM
Tel: 760-602-3470, Fax: 760-602-7811
Chief Compliance Officer
MATT LARGE
5780 FLEET ST.
SUITE 308
CARLSBAD
CA
United States
Tel:
760-602-3470
Fax:
760-602-7811
M***@*******************M
(Full email address available in API data)
Industry Affiliates
| ANCHOR BAY PRIVATE WEALTH LLC | Other investment adviser, including financial planners |
| ANCHOR BAY SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SPIERING, SCOTT | Individual | – | INVESTMENT ADVISER REPRESENTATIVE, OWNER | 02/1988 | 25-50% |
| LARGE, MATTHEW, WILLIAM | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2016 | 10-25% |
| ALLEN, JAMES, ROBERT | Individual | – | PRESIDENT | 06/2020 | 25-50% |
| Wrisley, Tanner, Manning | Individual | – | ASSOCIATE PORTFOLIO MANAGER | 02/2022 | 10-25% |