SourcingSourcing

SECURED PRINCIPAL ADVISORS LLC

C40
CRD 339795·SEC 801-135742·SANTA MONICA, CA
AUM
$0
<$25M
Est. Revenue
$0
@ 1% on AUM
Est. EBITDA
$0
@ 30% margin
Est. Deal Value
$0
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SECURED PRINCIPAL ADVISORS LLC
CRD
339795
SEC file #
801-135742
EIN
—
DBA names
Spa RIA

Economics

AUM
$0
AUM band
<$25M
AUM trajectory
—
Client mix
—

Operations

Employees (total)
3
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
—
Primary office
SANTA MONICA CA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Other Advisory Services
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/02/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SCALZO, NICHOLAS, BRAUN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
SCALZO, NICHOLAS, BRAUN
LAVIN, RICHARD, REID
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.4521
Soi Zip Pct 200k Plus
0.2305
Soi Zip Returns 200k Plus
3,390
Soi Zip Total AGI
3,090,583
Fdic Zip Total Deposits
21,070,495,000
Fdic Zip Branch Count
175
Fdic Zip Top Banks
Wells Fargo Bank, National Association
Bank of America, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (19)

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
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Fdic Zip Branches Raw
First Interstate Bank of CaliforniaSanta Monica, CA
First Federal Bank of California, a Federal Savings BankSanta Monica, CA
Fdic Zip HHI
1826.77
Fdic Zip Top Bank Share Pct
30.69
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI32,602
Returns2,880
Stub 2
AGI73,073
Returns1,970
Stub 3
AGI108,424
Returns1,740
Soi Zip Total Business Income
136,530
Soi Zip Total Cap Gains
412,512
Soi Zip Total Dividends
122,639
Soi Zip Total Returns
14,710
Top Owner CRD
2486415
Trust Company Affiliate
No

People (2)

2
NICHOLAS BRAUN SCALZO
Direct Owner · 87.5%
2486415
LAVIN, RICHARD, REID
Executive Officer · 2.5%
6318973