77 Financial Group Llc
State-registered
Insurance-Affiliated · Boutique (under $100M)
CRD 312367
· Carlsbad, CA
· www.linkedin.com
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ADV data as of Jun 24, 2026
- Regulatory AUM
- $27.1M
- Discretionary
- $27.1M
- Clients
- 78
- Avg AUM / client
- $347K
- Accounts
- 125
- Employees
- 3
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 78 | $17.0M | 62.8% |
| High net worth individuals | Fewer than 5 clients | $10.0M | 36.9% |
| Pension and profit sharing plans | Fewer than 5 clients | $75.0K | 0.28% |
| Charitable organizations | Fewer than 5 clients | $3.0K | 0.01% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Alan Walters | Registered representative | Jan 2021 (6y) | ||
| Jacob Robert Rogers | Registered representative | Oct 2025 (1y) | ||
| Brandon West | Registered representative | Jan 2026 (1y) |
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) | 06/24/2026 | 1.1 MB | 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
- • Subscription fees
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $27.1M (100% of AUM) Jun 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: Jun 24, 2026.
View current Form ADV (SEC/IAPD) ↗