Broker-dealer firm · Anaheim, CA
Centaurus Financial, Inc.
SEC-registered investment adviser · CRD 30833 · SEC 801-56882
At a glance
Centaurus Financial, Inc. is an SEC-registered investment adviser based in Anaheim, California, with $9.7 billion in regulatory assets under management as of its Form ADV filed July 30, 2026. Its largest client group by assets is individuals, and it reports 45,194 individual clients. By Form ADV it is a broker-dealer firm, ranked 69th of 391 broker-dealer firms and 1,394th of 17,210 SEC-registered advisers by assets.
Main office 714-456-1790centaurusfinancial.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $9.7B
- Rank among broker-dealer firms
- #69 of 391
- Rank among all SEC RIAs
- #1,394 of 17,210
- Rank in California
- #145 of 1,873
- Individual clients
- 45,194
- High-net-worth clients
- 467
- Accounts
- 45,336
- Discretionary
- 33% of AUM
- Employees
- 571
- Advisory staff
- 426
- Offices
- 279
Owners and executives on its Form ADV
- Westley Hayes KingDirector/president
- James Ronald Sr KingDirector/chairman of the Board/ceo
- Michael Peter RubinoOwner
- Stephen Mark KremerOwner
- Jerome Victor DuhovicDirector/evp/chief Administrative Officer
- Paul J KingDirector/general Counsel
- Jerome Victor DuhovicChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Centaurus Financial, Inc. is a hybrid RIA: 552 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Pacific Point Securities, LLC.
- Pacific Point Securities, LLC ↗CRD 150272
Its Form ADV brochure (filed July 2026) names Pacific Point Securities as the broker-dealer its advisers are registered with.
These individuals, in their separate capacity, may effect securities transactions for which they may be compensated. • Certain management personnel are separately licensed as Registered Representatives of Pacific Point Securities.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 44,727 | $8.4B | 87% |
| High-net-worth individuals | 467 | $1.2B | 13% |
| Corporations or other businesses | 142 | $69M | <1% |
Disciplinary disclosures
Centaurus Financial, Inc. answers yes to 27 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Periodicals or newsletters
- Market timing
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗centaurusfinancial.com ↗
AtlasMembers
The full record on Centaurus Financial, Inc.
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, ten years of filings
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- Growth over one, three and five years
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- Rank against 71 peers of its type and size
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- Owners and executives, with titles and stakes
- 8 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Centaurus Financial, Inc. manage?
Centaurus Financial, Inc. reports $9.7 billion in regulatory assets under management across 45,336 accounts, 33% of it on a discretionary basis, on its Form ADV filed July 30, 2026.
What kind of firm is Centaurus Financial, Inc.?
Centaurus Financial, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Centaurus Financial, Inc.’s clients?
By assets, its largest client types are individuals ($8.4 billion, 44,727 clients); high-net-worth individuals ($1.2 billion, 467 clients); corporations or other businesses ($69 million, 142 clients).
Does Centaurus Financial, Inc. have any disciplinary history?
Centaurus Financial, Inc. answers yes to 27 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Centaurus Financial, Inc.’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 (2026-07-30), 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). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. 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 →