Aduna Capital
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$3,466,000
Clients
36
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
36
HighAverage account size
$96,278
About
Aduna Capital provides discretionary investment management to a range of clients, including individuals, high net worth individuals, trusts, estates, charitable organizations and business entities, and documents that it tailors advice to clients’ objectives and risk tolerances. The firm describes its services as focused on equities, mutual funds, ETFs, fixed income and options, and does not impose an account minimum.
The firm describes a multi-faceted investment process that combines bottom-up and top-down analysis with both fundamental and technical methods, and it discloses trading in options and other derivatives as part of its strategies and separately managed accounts. Aduna Capital also notes it may engage sub‑advisors, executes trades through custodians such as Interactive Brokers, Charles Schwab, Betterment Securities and AngelList, and generally manages accounts on a discretionary basis.
Noteworthy for a small independent adviser, the brochure discloses an affiliation by common ownership with an insurance company (QJJJJ56) while indicating the owner is not an active participant in that insurance business, and the principal also lists other outside business activities (including Aduna Travel LLC and prior insurance roles). The firm’s managing member also serves as chief compliance officer with no internal supervision placed over him, and the combination of declared options/derivatives trading and an insurance-affiliated owner is uncommon among peers.
Client services
Financial planning
Portfolio management
Newsletters or periodicals
Expertise
Options & derivatives strategies
Fee options
Up to 2.00% annually
Main office location
Aduna Capital
12838 Rosecrans Ave
Norwalk CA 90650, United States
Number of offices
3
Most active in
Aduna Capital has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")