Wealth manager, independent · Irvine, CA
Harmony Point Wealth Advisors, Inc.
SEC-registered investment adviser · CRD 323643 · SEC 801-126832
At a glance
Harmony Point Wealth Advisors, Inc. is an SEC-registered investment adviser based in Irvine, California, with $263 million in regulatory assets under management as of its Form ADV filed March 25, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 272 individual clients. By Form ADV it is a wealth manager, ranked 4,801st of 8,915 wealth managers and 10,810th of 17,210 SEC-registered advisers by assets.
Main office 888-391-7378harmonypointwa.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $263M
- Rank among wealth managers
- #4,801 of 8,915
- Rank among all SEC RIAs
- #10,810 of 17,210
- Rank in California
- #1,240 of 1,873
- Individual clients
- 272
- High-net-worth clients
- 66
- Accounts
- 620
- Discretionary
- 100% of AUM
- Employees
- 2
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- Kenneth R. GrahamCo-Owner
- Marek P PfeilPresident and CCO
Custody and brokerage
Broker-dealer
Hybrid RIA
Harmony Point Wealth Advisors, Inc. is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names World Investments as the broker-dealer its advisers are registered with.
Marek Pfeil is a registered representative of World Investments, LLC, a FINRA-registered broker- dealer and member of SIPC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 66 | $204M | 77% |
| Individuals | 206 | $60M | 23% |
Disciplinary disclosures
Harmony Point Wealth Advisors, Inc. 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
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗harmonypointwa.com ↗
AtlasMembers
The full record on Harmony Point Wealth Advisors, 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, 3 years of filings
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- Growth over one, three and five years
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- Rank against 6,416 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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Background
Questions
How much does Harmony Point Wealth Advisors, Inc. manage?
Harmony Point Wealth Advisors, Inc. reports $263 million in regulatory assets under management across 620 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 25, 2026.
What kind of firm is Harmony Point Wealth Advisors, Inc.?
Harmony Point Wealth Advisors, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Harmony Point Wealth Advisors, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($204 million, 66 clients); individuals ($60 million, 206 clients).
Does Harmony Point Wealth Advisors, Inc. have any disciplinary history?
Harmony Point Wealth Advisors, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Harmony Point Wealth Advisors, 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 (2026-03-25), 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). 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 →