Aduna Capital Llc
State-registered
Insurance-Affiliated · Boutique (under $100M)
CRD 311270
· Norwalk, CA
· www.adunacapital.com
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ADV data as of Apr 01, 2026
- Regulatory AUM
- $3.5M
- Discretionary
- $3.5M
- Clients
- 36
- Avg AUM / client
- $96.3K
- Accounts
- 36
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 36 | $3.5M | 100.0% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Alfonso F Quetzalcoatl Aduna | Registered representative | Jan 2021 (6y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/01/2026 | 1.05 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Publication of periodicals or newsletters
Custody
Reported custodians
- Truist Financial Corp $890K (26% of AUM) Apr 2026
- Mtg, Llc $750K (22% of AUM) Apr 2026
- Interactive Brokers $490K (14% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 01, 2026.
View current Form ADV (SEC/IAPD) ↗