Davies Financial Advisors, Inc.
SEC-registered
Insurance-Affiliated · Small ($100M–$1B)
CRD 139764
· SEC file 801-126564
· Murrieta, CA
· WWW.AJDAVIES.NET
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ADV data as of Mar 30, 2026
- Regulatory AUM
- $123M
- Discretionary
- $123M
- Clients
- 171
- Avg AUM / client
- $720K
- Accounts
- 173
- Employees
- 10
AUM over time
$110M
$288M
Aug 2022
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 104 | $25.3M | 20.5% |
| High net worth individuals | 21 | $64.6M | 52.5% |
| Charitable organizations | Fewer than 5 clients | $1.7M | 1.35% |
| Corporations and other businesses | 46 | $31.5M | 25.6% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Andrew James Davies | President And Cco | CFP | Jan 2004 (23y) | 50% – 75% |
| Davies, Shaunie, Lee | Shareholder | Jan 2004 (23y) | 50% – 75% | |
| Justin Simmons | Registered representative | CFP | Sep 2022 (4y) | |
| Lyndsay Davies | Registered representative | Jun 2023 (3y) |
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) | 03/30/2026 | 905 KB | 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $100M (82% of AUM) Mar 2026
- National Financial Services (Fidelity) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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 30, 2026.
View current Form ADV (SEC/IAPD) ↗