Wealth manager, independent · Newport Beach, CA
Spinnaker Investment Group, LLC
SEC-registered investment adviser · CRD 283414 · SEC 801-107671
At a glance
Spinnaker Investment Group, LLC is an SEC-registered investment adviser based in Newport Beach, California, with $1.1B in regulatory assets under management as of its Form ADV filed June 2, 2026. It reports 902 individual clients, 259 of them high-net-worth, holding an average of about $1.0 million each, and 11 employees. That ranks it 1027th among the nation’s 5,657 independent wealth management RIAs and 122nd of 714 in California. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Main office 949-396-6700spinninvest.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.1B
- Rank among independent wealth managers
- #1,027 of 5,657
- Rank among all SEC RIAs
- #5,158 of 17,210
- Rank in California
- #122 of 714
- Individual clients
- 902
- High-net-worth clients
- 259
- Accounts
- 2,337
- Discretionary
- 94% of AUM
- Employees
- 11
- Advisory staff
- 8
- Offices
- 1
Owners and executives on its Form ADV
- Morgan R. ChristenChief Compliance Officer and Managing Member
- Joseph M. StapletonManaging Member
- Andrew L. KrongoldMember, CFO
Custody and brokerage
Broker-dealer
No broker-dealer ties
Spinnaker Investment Group, 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 | 259 | $753M | 70% |
| Individuals | 643 | $181M | 17% |
| Pension and profit sharing plans | 107 | $91M | 8% |
| Insurance companies | 2 | $38M | 4% |
| Corporations or other businesses | 11 | $9M | <1% |
| Charitable organizations | 3 | $1M | <1% |
Disciplinary disclosures
Spinnaker Investment Group, 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
- Portfolio management for businesses and institutions
- 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 ↗spinninvest.com ↗
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- Assets, accounts, clients and staff, 9 years of filings
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- Growth over one, three and five years
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- 3 namedLocked
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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 |
|---|---|---|
| The Pacific Center for Financial ServicesDanville | $1.1B | 789 |
| Wescap GroupGlendale | $1.1B | 321 |
| Corvus Wealth Advisors LLCTempleton | $1.1B | 363 |
| Occidental Asset Management, LLCBurlingame | $1.1B | 908 |
| Schnieders Capital Management, LLC.Pasadena | $1.1B | 459 |
| Morling Financial Advisors, LLCFremont | $1.0B | 333 |
Background
Questions
How much does Spinnaker Investment Group, LLC manage?
Spinnaker Investment Group, LLC reports $1.1B in regulatory assets under management across 2,337 accounts, 94% of it on a discretionary basis, on its Form ADV filed June 2, 2026.
How many clients does Spinnaker Investment Group, LLC have?
It reports 902 individual clients: 259 high-net-worth individuals and 643 other individuals. Individuals account for about 87% of its regulatory assets.
Where is Spinnaker Investment Group, LLC headquartered?
Its main office is in Newport Beach, California. It reports 1 office in total and 11 employees, 8 of whom perform investment advisory functions.
How does Spinnaker Investment Group, 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 Spinnaker Investment Group, LLC use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed June 2, 2026, it reports these amounts held: Charles Schwab ($1.0B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Spinnaker Investment Group, LLC a hybrid RIA with a broker-dealer?
Spinnaker Investment Group, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Spinnaker Investment Group, LLC a fiduciary?
As an SEC-registered investment adviser, Spinnaker Investment Group, 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 Spinnaker Investment Group, 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 (2026-06-02), 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 →