Southern California Wealth Management Associates
- Regulatory AUM
- $34.0M
- Discretionary
- $34.0M
- Clients
- 115
- Avg AUM / client
- $296K
- Accounts
- 115
- Employees
- 3
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 111 | $28.0M | 82.4% |
| High net worth individuals | 4 | $6.0M | 17.6% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Terry Tin Sing Tang | Registered representative | Nov 2024 (2y) | ||
| Helen Hsi Shan Lin | Registered representative | Jul 2025 (1y) | ||
| Scott Michael Ozer | Registered representative | Mar 2026 (0y) |
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) | 03/29/2026 | 1.11 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $34.0M (100% of AUM) Mar 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: Mar 29, 2026.
View current Form ADV (SEC/IAPD) ↗