Wealth manager, independent · SAN Mateo, CA
Vantage Wealth Management, LLC
SEC-registered investment adviser · CRD 152374 · SEC 801-70921
At a glance
Vantage Wealth Management, LLC is an SEC-registered investment adviser based in SAN Mateo, California, with $1.1B in regulatory assets under management as of its Form ADV filed March 13, 2026. It reports 635 individual clients, 264 of them high-net-worth, holding an average of about $1.8 million each, and 9 employees. That ranks it 979th among the nation’s 5,657 independent wealth management RIAs and 116th of 714 in California. It reports SEI as the custodian for its clients’ separately managed accounts.
Main office 650-638-9600vantagewealthmgmt.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.1B
- Rank among independent wealth managers
- #979 of 5,657
- Rank among all SEC RIAs
- #5,029 of 17,210
- Rank in California
- #116 of 714
- Individual clients
- 635
- High-net-worth clients
- 264
- Accounts
- 1,888
- Discretionary
- 100% of AUM
- Employees
- 9
- Advisory staff
- 7
- Offices
- 1
Owners and executives on its Form ADV
- David V. FerneliusManaging Member
- Brandy M. NavarroMember
- John D LeeMember
- Tom O'BrienMember
- Sarah M. KardavaniChief Compliance Officer
- Robert F. StaffordMember
Custody and brokerage
Broker-dealer
No broker-dealer ties
Vantage Wealth Management, 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 | 264 | $962M | 86% |
| Individuals | 371 | $154M | 14% |
| Pension and profit sharing plans | 4 | $7M | <1% |
Disciplinary disclosures
Vantage Wealth Management, 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
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗vantagewealthmgmt.com ↗
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The full record on Vantage Wealth Management, LLC
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 3,243 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 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 |
|---|---|---|
| Atlas Capital Advisors Inc.SAN Francisco | $1.1B | 137 |
| Ignite Planners LLCSAN Clemente | $1.1B | 4,605 |
| CLG LLCLong Beach | $1.1B | 1,434 |
| Fiduciary Financial Group, LLCSAN Rafael | $1.1B | 412 |
| Knightsbridge Wealth ManagementNewport Beach | $1.1B | 517 |
| The Pacific Center for Financial ServicesDanville | $1.1B | 789 |
Background
Questions
How much does Vantage Wealth Management, LLC manage?
Vantage Wealth Management, LLC reports $1.1B in regulatory assets under management across 1,888 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 13, 2026.
How many clients does Vantage Wealth Management, LLC have?
It reports 635 individual clients: 264 high-net-worth individuals and 371 other individuals. Individuals account for about 99% of its regulatory assets.
Where is Vantage Wealth Management, LLC headquartered?
Its main office is in SAN Mateo, California. It reports 1 office in total and 9 employees, 7 of whom perform investment advisory functions.
How does Vantage Wealth Management, 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 Vantage Wealth Management, LLC use?
It reports SEI as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed March 13, 2026, it reports these amounts held: SEI ($1.1B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Vantage Wealth Management, LLC a hybrid RIA with a broker-dealer?
Vantage Wealth Management, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Vantage Wealth Management, LLC a fiduciary?
As an SEC-registered investment adviser, Vantage Wealth Management, 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 Vantage Wealth Management, 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 (2026-03-13), 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). 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 →