CENTAURUS FINANCIAL, INC.

Broker-DealerFINRA MemberEst. 1999
Total AUM
$7.3B
Discretionary
$2.4B
32% of AUM
Accounts
38,049
Employees
580
Advisory reps
564
Brokerage reps
580

Firm details

Headquarters
ANAHEIM, California
CRD number
30833
Registered since
October 8, 1999
Website
www.centaurusfinancial.com
Custodians
CHARLES SCHWAB & CO., INC., PERSHING LLC, SEI INVESTMENTS DISTRIBUTION CO.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • Individuals87.71%
  • HNWI11.6%
  • Corporations / Businesses0.69%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsMarket Timing ServicesEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Centaurus Financial, Inc. is an SEC-registered corporation operating primarily as an insurance broker‑dealer that also provides a range of advisory services. Registered since 1999, the firm serves both individual and family clients as well as institutional investors. Its advisory offering includes comprehensive financial planning, portfolio management for individuals and small businesses, portfolio management for businesses or institutions, pension consulting, manager selection, and investor education through seminars and publications. Fee arrangements include percentage of AUM, hourly charges, and fixed-fee engagements. The firm does not identify as an active ESG investor and is not organized as a multi-state adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 47%, Private Funds 39%, Cash & Cash Equivalents 7%, US Government Bonds 2%, State & Local Bonds 2%, Non-Exchange Traded Equities 1%, Investment Grade Corp Bonds 1%, Other 1%47%
  • Exchange Traded Equities47%
  • Private Funds39%
  • Cash & Cash Equivalents7%
  • US Government Bonds2%
  • State & Local Bonds2%

Owners & executives

3 of 32

  • JEROME DUHOVIC

    Chief Administrative OfficerCRD 2123754

  • ORION WILLIS

    Founder & CEOCRD 4047415

  • CHARLES MUNOZ

    CEO, Financial ConsultantCRD 3243140

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Contacts

3 of 532

  • CHRIS NAUM

    Registered Financial AdvisorCRD 2472353

  • DOUGLAS MISTERLY

    Registered RepresentativeCRD 2116378

  • JANE PRUGSANAPAN

    AdvisorCRD 5270442

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 715

Active vs passive

$1.4B in ETFs

Passive

67%

$930M

Active

26%

$458M

ETFProviderStyleCategoryValueShares% of portfolio
SPDR S&P 500 ETF TRUST (SPY)State StreetPassiveLarge Blend$36.8M56,5302.65%
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Location

Primary office

ANAHEIM, CA

ORANGE

Location

ANAHEIM, CA

Headquartered in ANAHEIM, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.

Metro area
Los Angeles-Long Beach, CA
Region
West
County
ORANGE
Address
2300 E Katella Ave
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth