Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$247,127,800
Total clients
187
24% high-net worth
Total advisors
6
of 6 employees
Firm size
Team
4-10 advisors or $500M+ in AUM
Average clients per advisor
31
Average account size
$1,321,539
Anchor Bay Capital, Inc. provides discretionary investment management, financial planning and retirement-plan services to individuals (including high‑net‑worth clients), business entities, and pension and profit‑sharing plans. The firm also serves as an ERISA Section 3(38) investment manager for plan sponsors and offers non‑discretionary investment consulting and participant education for employer‑sponsored retirement plans.
The firm constructs diversified portfolios from stocks, bonds, mutual funds and ETFs using fundamental analysis and independent due diligence, and offers model allocations that range from conservative fixed‑income blends to aggressive individual‑stock strategies. Portfolios are tailored to each client’s risk profile and financial situation, reviewed regularly by the investment team, and rebalanced or adjusted tactically as conditions change.
Anchor Bay operates as a team adviser (six advisors, approximately $247 million in AUM) and discloses affiliations that are uncommon among peers: a related broker‑dealer, Anchor Bay Securities, LLC, and associated persons who are licensed insurance agents and tax preparers, creating potential commission and referral conflicts the firm says it manages through its Code of Ethics and portfolio policies. The brochure also notes a few operational distinctions — the firm does not vote client proxies and uses standing letters of authorization for fee transfers — items clients may consider when evaluating custody and governance.
Financial Planning Services fees charged as flat fee based on estimated hours (floor and cap), $500 to $2,500
$0 - $1,000,000: 0.95% to 1.75% annually (ranges, varies by account size and complexity) $1,000,000 - $4,000,000: Typically 1.20% annually $4,000,000+: Generally 1.00% annually
Commissions from sales of mutual funds, annuities, life insurance, and other products through Anchor Bay Securities, LLC, separate from ABC advisory fees
Financial Planning Services fees estimated at $150/hour, with a floor and cap, total fees range $500 to $2,500
Account minimum: $1,000,000 Fee-only: Investment Management Services fees ranging from 0.95% to 1.75% annually; Retirement Plans advisory fees from 0.25% to 0.90% per year; Retirement Plan Participants fees from 0.50% to 0.75% per year; Financial Planning Service fees from $500 to $2,500
Anchor Bay Capital, Inc.
5780 Fleet St., Suite 308
Carlsbad CA 92008, United States
Number of offices
2
California · Utah · Washington
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
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.
CFP®, Series 63, Series 65
Carlsbad, CA
Anchor Bay Capital, Inc.
Series 65
Tustin, CA
Anchor Bay Capital, Inc.
Series 63, Series 66
Carlsbad, CA
Anchor Bay Capital, Inc.
Series 63, Series 66
Carlsbad, CA
Anchor Bay Capital, Inc.
CFP®, Series 63
Carlsbad, CA
Anchor Bay Capital, Inc.
Series 65
Carlsbad, CA
Anchor Bay Capital, Inc.
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