Broker-dealer firm · SAN Diego, CA
Copley Financial Group, Inc.
SEC-registered investment adviser · CRD 283070 · SEC 801-119967
At a glance
Copley Financial Group, Inc. is an SEC-registered investment adviser based in SAN Diego, California, with $331 million in regulatory assets under management as of its Form ADV filed July 13, 2026. Its largest client group by assets is individuals, and it reports 2,690 individual clients. By Form ADV it is a broker-dealer firm, ranked 236th of 391 broker-dealer firms and 9,691st of 17,210 SEC-registered advisers by assets.
Main office 619-294-6008financialplannersandiego.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $331M
- Rank among broker-dealer firms
- #236 of 391
- Rank among all SEC RIAs
- #9,691 of 17,210
- Rank in California
- #1,121 of 1,873
- Individual clients
- 2,690
- High-net-worth clients
- 9
- Accounts
- 2,690
- Discretionary
- 100% of AUM
- Employees
- 8
- Advisory staff
- 7
- Offices
- 2
Owners and executives on its Form ADV
- Matthew D. CopleyPresident/cco
Custody and brokerage
Broker-dealer
Hybrid RIA
Copley Financial Group, Inc. is a hybrid RIA: 4 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Copley Alternative Investments, Inc. and Emerson Equity LLC.
- Copley Alternative Investments, Inc. ↗CRD 336405
- Emerson Equity LLC
Its Form ADV brochure (filed July 2026) names Copley Alternative Investments as the broker-dealer its advisers are registered with.
of Securities to Clients Investment Advisor Representatives of Advisor receive external compensation for the sale of securities to clients as Registered Representatives of Copley Alternative Investments, Inc. , an affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 2,681 | $330M | 100% |
| High-net-worth individuals | 9 | $1M | <1% |
Disciplinary disclosures
Copley Financial Group, Inc. answers yes to 2 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
- Portfolio management for individuals and small businesses
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Other
Form ADV and brochures on the SEC’s adviser search ↗financialplannersandiego.com ↗
AtlasMembers
The full record on Copley Financial Group, 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, 5 years of filings
- Locked
- Growth over one, three and five years
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- Rank against 165 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Copley Financial Group, Inc. manage?
Copley Financial Group, Inc. reports $331 million in regulatory assets under management across 2,690 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 13, 2026.
What kind of firm is Copley Financial Group, Inc.?
Copley Financial Group, 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 Copley Financial Group, Inc.’s clients?
By assets, its largest client types are individuals ($330 million, 2,681 clients); high-net-worth individuals ($763,074, 9 clients).
Does Copley Financial Group, Inc. have any disciplinary history?
Copley Financial Group, Inc. answers yes to 2 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 Copley Financial Group, 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 (2026-07-13), 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 →