SourcingSourcing

CHARTIST INC

A67
CRD 105072·SEC 801-11714·LONG BEACH, CA
AUM
$169.7M
$100M-$500M
Est. Revenue
$1.7M
@ 1% on AUM
Est. EBITDA
$509K
@ 30% margin
Est. Deal Value
$4.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CHARTIST INC
CRD
105072
SEC file #
801-11714
EIN
952972961
DBA names
The Chartist

Economics

AUM
$169.7M
AUM band
$100M-$500M
AUM trajectory
'20'26
$219.9M → $169.7M▼ -23%
Client mix
Individuals Other426

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
4 advisors → 3 advisors▼ -25%
Primary office
LONG BEACH CA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsPublication of periodicals
Fee basis
% of AUMSubscription fees

Filings

Latest ADV filing
01/05/2026
ADV-W filed at
—
Website
thechartist.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MAIS, CHRISTOPHER, KIER
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
MAIS, CHRISTOPHER, KIER
MAIS, STEVEN, GERARD
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
THECHARTIST.COM
Rdap Domain Creation Date
1996-11-05T05:00:00Z
Rdap Firm Age Years
30
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001129770
Edgar Registered
Yes
Edgar Filing Count
57
Edgar First Filing Date
2001-02-05
Edgar Last Filing Date
2026-05-14
Edgar 13f Count
57
Edgar 13f Latest AUM Estimate
Filing Date2026-05-14
Accession0001129770-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (18)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
PO BOX 758SEAL BEACH, CA 90740
Business
PO BOX 758SEAL BEACH, CA 90740
Edgar EIN
952972961
Edgar Recent Filings
13F-HR2026-05-14 · 0001129770-26-000002
13F-HR2026-02-10 · 0001129770-26-000001
Fee Schedule
Bracket I96
Bracket Ii2
Bracket Xi2
Bracket Iii0
Bracket Iv0
Firm Has Custody
No
Mailing Office Differs
Yes
Rdap Domain Expiration Date
2029-11-04T06:00:00Z
Rdap Domain Last Changed
2024-09-05T08:11:45Z
Rdap Nameservers
Dax.ns.cloudflare.comLinda.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
2449031
Trust Company Affiliate
No

People (2)

2
MAIS, STEVEN, GERARD
IAR · Direct Owner · 62.5%
710902
MAIS, CHRISTOPHER, KIER
IAR · Direct Owner · 62.5%
2449031