Wealth manager, independent · Santa Barbara, CA
Arlington Financial Advisors, LLC
SEC-registered investment adviser · CRD 283288 · SEC 801-107857
At a glance
Arlington Financial Advisors, LLC is an SEC-registered investment adviser based in Santa Barbara, California, with $1.2B in regulatory assets under management as of its Form ADV filed February 25, 2026. It reports 595 individual clients, 267 of them high-net-worth, holding an average of about $1.9 million each, and 16 employees. That ranks it 887th among the nation’s 5,657 independent wealth management RIAs and 106th of 714 in California. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Main office 805-699-7300arlingtonfinancialadvisors.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.2B
- Rank among independent wealth managers
- #887 of 5,657
- Rank among all SEC RIAs
- #4,771 of 17,210
- Rank in California
- #106 of 714
- Individual clients
- 595
- High-net-worth clients
- 267
- Accounts
- 2,575
- Discretionary
- 100% of AUM
- Employees
- 16
- Advisory staff
- 8
- Offices
- 1
Owners and executives on its Form ADV
- Arthur G. SwalleyManaging Member
- Dianne G. DuvaManaging Member
- John A. LorenzManaging Member & Chief Compliance Officer
- Joseph R. WeilandManaging Member
- Richard W. HughesManaging Member
- Cody A. MakelaManaging Member
Custody and brokerage
Broker-dealer
No broker-dealer ties
Arlington Financial Advisors, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 267 | $1.0B | 83% |
| Individuals | 328 | $130M | 11% |
| Pension and profit sharing plans | 36 | $79M | 6% |
Disciplinary disclosures
Arlington Financial Advisors, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗arlingtonfinancialadvisors.com ↗
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Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 9 years of filings
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- Growth over one, three and five years
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- Rank against 2,953 peers of its type and size
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- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in California
All of California →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Capital Advantage, Inc.Walnut Creek | $1.3B | 661 |
| One Wealth Advisors, LLCSAN Francisco | $1.3B | 406 |
| Sivia Capital Partners, LLCMill Valley | $1.2B | 55 |
| KWB WealthRedlands | $1.2B | 1,935 |
| Insight Wealth Strategies, LLCSAN Ramon | $1.2B | 584 |
| Centura Wealth AdvisorySAN Diego | $1.2B | 574 |
Background
Questions
How much does Arlington Financial Advisors, LLC manage?
Arlington Financial Advisors, LLC reports $1.2B in regulatory assets under management across 2,575 accounts, 100% of it on a discretionary basis, on its Form ADV filed February 25, 2026.
How many clients does Arlington Financial Advisors, LLC have?
It reports 595 individual clients: 267 high-net-worth individuals and 328 other individuals. Individuals account for about 94% of its regulatory assets.
Where is Arlington Financial Advisors, LLC headquartered?
Its main office is in Santa Barbara, California. It reports 1 office in total and 16 employees, 8 of whom perform investment advisory functions.
How does Arlington Financial Advisors, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Arlington Financial Advisors, LLC use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed February 25, 2026, it reports these amounts held: Charles Schwab ($1.2B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Arlington Financial Advisors, LLC a hybrid RIA with a broker-dealer?
Arlington Financial Advisors, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Arlington Financial Advisors, LLC a fiduciary?
As an SEC-registered investment adviser, Arlington Financial Advisors, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Arlington Financial Advisors, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-02-25), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →