ALPHA CENTAURI WEALTH MANAGEMENT INC.
Adviser information for ALPHA CENTAURI WEALTH MANAGEMENT INC. last updated from Form ADV on July 28th, 2023. 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 | APRIL |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | WE PROVIDE DUE DILIGENCE ANALYSIS ON THIRD PARTY INVESTMENT ADVISERS, INVESTMENT MANAGEMENT PLATFORMS AND ALT INV PRODUCTS. |
|---|---|
| Compensation | NO RETAIL CLIENTS. COMPENSATED ON AN INCIDENTAL BASIS. |
Identifiers
| SEC RIA File Number | 801-63821 |
|---|---|
| SEC ERA File Number | 801-63821 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132837 |
| Legal Entity Identifier | None |
Principal Office
2300 E. KATELLA AVESUITE 200
ANAHEIM
CA
United States
Monday - Friday, 9:00 AM TO 4:00 PM
Tel: 714-456-1790, Fax: 714-456-1799
Chief Compliance Officer
WES KING
PRESIDENT
2300 E. KATELLA AVE
SUITE 200
ANAHEIM
CA
United States
Tel:
714-456-1790
Fax:
714-456-1799
W****@***********M
(Full email address available in API data)
Industry Affiliates
| CENTAURUS FINANCIAL, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CENTAURUS INSURANCE SERVICES, INC. | Insurance company or agency |
| PACIFIC POINT 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 |
|---|---|---|---|---|---|
| THE FEDERATION OF FINANCIAL SERVICES | Domestic Entity | – | OWNER | 06/2002 | > 75% |
| KING, JAMES, RONALD | Individual | FEDERATION OF FINANCIAL SERVICES | SHAREHOLDER | 06/2002 | 50-75% |
| KING, WESTLEY, HAYES | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2010 | < 5% |
| DUHOVIC, JEROME, VICTOR | Individual | FEDERATION OF FINANCIAL SERVICES | SHAREHOLDER | 08/2007 | 25-50% |