Wealth manager, independent · Anaheim, CA
Chatterton & Associates
Chatterton & Associates, the Wealth Management Team, Inc. · SEC-registered investment adviser · CRD 132295 · SEC 801-63394
At a glance
Chatterton & Associates is an SEC-registered investment adviser based in Anaheim, California, with $1.3B in regulatory assets under management as of its Form ADV filed March 20, 2026. It reports 1,542 individual clients, 397 of them high-net-worth, holding an average of about $0.9 million each, and 31 employees. That ranks it 839th among the nation’s 5,657 independent wealth management RIAs and 100th of 714 in California. It reports SEI as the custodian for its clients’ separately managed accounts.
Main office 714-572-2050chattertoninc.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.3B
- Rank among independent wealth managers
- #839 of 5,657
- Rank among all SEC RIAs
- #4,598 of 17,210
- Rank in California
- #100 of 714
- Individual clients
- 1,542
- High-net-worth clients
- 397
- Accounts
- 2,908
- Discretionary
- 30% of AUM
- Employees
- 31
- Advisory staff
- 10
- Offices
- 1
Owners and executives on its Form ADV
- Robert D. ChattertonPresident
- Donna B. DimariaChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Chatterton & Associates is a hybrid RIA: 6 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Osaic Wealth as the broker-dealer its advisers are registered with.
Commissionable Securities Sales In order to sell securities for a commission, our advisors are registered representatives of Osaic Wealth, Inc., member FINRA/SIPC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 397 | $870M | 66% |
| Individuals | 1,145 | $458M | 34% |
Disciplinary disclosures
Chatterton & Associates 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
- Selecting other advisers
- Periodicals or newsletters
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗chattertoninc.com ↗
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The full record on Chatterton & Associates
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 2,792 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 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 |
|---|---|---|
| Kera Capital PartnersSAN Jose | $1.4B | 310 |
| Lodestar Private Asset Management LLCAlamo | $1.3B | 544 |
| Cypress Wealth Services, LLCPalm Desert | $1.3B | 825 |
| Chequers Financial Management LLCSAN Francisco | $1.3B | 244 |
| Silicon Valley Capital Partners, L.P.SAN Jose | $1.3B | 513 |
| Capital Advantage, Inc.Walnut Creek | $1.3B | 661 |
Background
Questions
How much does Chatterton & Associates manage?
Chatterton & Associates reports $1.3B in regulatory assets under management across 2,908 accounts, 30% of it on a discretionary basis, on its Form ADV filed March 20, 2026.
How many clients does Chatterton & Associates have?
It reports 1,542 individual clients: 397 high-net-worth individuals and 1,145 other individuals. Individuals account for about 100% of its regulatory assets.
Where is Chatterton & Associates headquartered?
Its main office is in Anaheim, California. It reports 1 office in total and 31 employees, 10 of whom perform investment advisory functions.
How does Chatterton & Associates charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; 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 Chatterton & Associates use?
It reports SEI as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed March 20, 2026, it reports these amounts held: SEI ($1.3B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Chatterton & Associates a hybrid RIA with a broker-dealer?
Chatterton & Associates is a hybrid RIA: 6 of its employees are also registered representatives of a broker-dealer. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Chatterton & Associates a fiduciary?
As an SEC-registered investment adviser, Chatterton & Associates owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 6 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Chatterton & Associates’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 (2026-03-20), 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 →