Southern California Wealth Management Associates

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Client assets under management

$34,000,000

Clients

115

3% high-net worth

Advisors

of 3 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Typical

Average account size

$295,652

About

Southern California Wealth Management Associates serves individual and high‑net‑worth clients with ongoing portfolio management and client‑specific Investment Policy Statements. The small advisory team (two advisors) manages about $34 million across roughly 115 client accounts and typically requests discretionary authority to implement client portfolios.

The firm uses a range of analytical methods — including charting, cyclical, fundamental, quantitative and technical analysis — and employs both long‑term and short‑term trading strategies. Its investment menu includes mutual funds, ETFs (including precious‑metals ETFs), fixed income, real estate funds/REITs, private placements and insurance products, and the firm documents client risk tolerance and objectives in each client’s IPS.

A noteworthy disclosure in the brochure is a prior FINRA regulatory action involving the firm’s principal (a 2011 fine and suspension), which the firm reports in its disciplinary section. The brochure also discloses that supervised persons may act as registered representatives and licensed insurance agents (receiving outside compensation), that the firm may accept soft‑dollar benefits, and that it requires clients to use a specific custodian for account custody and trade execution.

Client services

Portfolio management

Expertise

Annuities Real estate investing

Fee options

Percentage

Up to 2.25% annually, single tier for all assets

Main office location

Southern California Wealth Management Associates

655 Deep Valley Dr., Suite 125 B

Rolling Hills Estates CA 90274, United States

Number of offices

Most active in

California

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

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

Form ADV Part 2: Client Brochure

Quick links

818-469-3521

Advisors at this firm

Helen L

Series 66

Rolling Hills Estates, CA

Southern California Wealth Management Associates

Helen Lin is a Series 66-licensed advisor with Southern California Wealth Management Associates, bringing 22 years of industry experience. She previously worked at Western International Securities, Inc. and Financial West Group. Lin is also involved as a registered representative with Emerson Equity LLC and conducts fixed life insurance and annuity sales as a sole proprietor. Southern California Wealth Management Associates serves individual and high-net-worth clients with ongoing portfolio management and customized Investment Policy Statements. The firm employs various analytical methods and both long- and short-term trading strategies across a diverse range of investment products.

Annuities Real estate investing

Scott O

Series 63

Rolling Hills Estates, CA

Southern California Wealth Management Associates

Scott Ozer is a financial advisor at Southern California Wealth Management Associates with 44 years of industry experience. He holds a Series 63 designation and has worked at Emerson Equity LLC and Sandlapper Securities, LLC prior to joining his current firm. Southern California Wealth Management Associates serves individual and high-net-worth clients with portfolio management and client-specific Investment Policy Statements. The firm manages approximately $34 million across 115 client accounts, using a variety of analytical methods and both long- and short-term trading strategies.

Annuities Real estate investing

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