Data / Investment advisers / California / Appian Way Financial
Appian Way Financial, Pasadena, CA: $143 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Appian Way Financial is an SEC registered investment adviser with its main office in Pasadena, California and reports $143 million in regulatory assets under management in its Form ADV filed March 23, 2026. Its clients include individuals, high net worth individuals and charitable organizations. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 168109
- SEC file number
- 801-131263
- SEC status
- Approved, effective October 10, 2024
- Legal name
- Appian Way Financial LLC
- Main office
- 680 E Colorado Blvd Ste 180, Pasadena, CA 91101
- Phone
- (626) 210-2660
- Regulatory AUM
- $142,870,837 in the Form ADV filed March 23, 2026
- Discretionary AUM
- $137,994,806
- Non discretionary AUM
- $4,876,031
- Accounts
- 316
- Employees
- 1, of which 1 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 23, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 81 | $66.9 million |
| High net worth individuals | 23 | $55.3 million |
| Charitable organizations | Fewer than 5 | $20.7 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $142.9 million | March 23, 2026 |
| December 1, 2025 | $123.7 million | March 15, 2025 |
Other advisers in Pasadena
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Torrey-Payne Wealth Management | Pasadena | $184.8 million | Not listed | adviserinfo.sec.gov |
| Logic Wealth Management, LLC | Pasadena | $184.7 million | Not listed | adviserinfo.sec.gov |
| Hall Capital, LLC | Pasadena | $180 million | Not listed | adviserinfo.sec.gov |
| Impact Fiduciary LLC | Pasadena | $155 million | Not listed | adviserinfo.sec.gov |
| Lake Avenue Financial LLC | Pasadena | $154.7 million | Not listed | adviserinfo.sec.gov |
| Derive Wealth | Pasadena | $141.3 million | Not listed | adviserinfo.sec.gov |
| Bernard & Johnson Family Wealth Management | Pasadena | $113.1 million | Not listed | adviserinfo.sec.gov |
| Calibrate Ventures Management, LLC | Pasadena | Not listed | 18 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Pasadena, CA
- Investment advisers in California
- Advisers with $100 million to $500 million in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Appian Way Financial on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.