SourcingSourcing

ANCHOR BAY CAPITAL, INC.

C40
CRD 116913·SEC 801-107983·CARLSBAD, CA
AUM
$247.1M
$100M-$500M
Est. Revenue
$2.5M
@ 1% on AUM
Est. EBITDA
$741K
@ 30% margin
Est. Deal Value
$5.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ANCHOR BAY CAPITAL, INC.
CRD
116913
SEC file #
801-107983
EIN
—
DBA names
—

Economics

AUM
$247.1M
AUM band
$100M-$500M
AUM trajectory
'20'26
$92.5M → $247.1M▲ +167%
Client mix
Individuals Other142
Individuals High Net Worth45
Pension Profit Sharing Plans3

Operations

Employees (total)
6
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'20'26
4 advisors → 5 advisors▲ +25%
Primary office
CARLSBAD CA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/23/2026
ADV-W filed at
—
Website
facebook.com/anchorbaycapital(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
ALLEN, JAMES, ROBERT
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
ALLEN, JAMES, ROBERT
LARGE, MATTHEW, WILLIAM
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
fallback_guess:anchorbay.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
9
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
3
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
1882869
Trust Company Affiliate
No

People (7)

7
ALLEN, JAMES, ROBERT
IAR · Direct Owner · 37.5%
1882869
Wrisley, Tanner, Manning
IAR · Direct Owner · 17.5%
6750564
MATTHEW WILLIAM LARGE
Direct Owner · 17.5%
6251338
Robert George Nathan
IAR
7746245
Cory Matthew Large
IAR
7553891
BLAKE ROLLINS PINYAN
IAR
7031316
Stacey Lynn Buchholtz
IAR
7173059