Anchor Bay Capital, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$243,354,000
Clients
187
Advisors
6
across 2 offices
About
Anchor Bay Capital, Inc. provides discretionary investment management, financial planning and retirement-plan services to individuals (including high‑net‑worth clients), business entities, and pension and profit‑sharing plans. The firm also serves as an ERISA Section 3(38) investment manager for plan sponsors and offers non‑discretionary investment consulting and participant education for employer‑sponsored retirement plans.
The firm constructs diversified portfolios from stocks, bonds, mutual funds and ETFs using fundamental analysis and independent due diligence, and offers model allocations that range from conservative fixed‑income blends to aggressive individual‑stock strategies. Portfolios are tailored to each client’s risk profile and financial situation, reviewed regularly by the investment team, and rebalanced or adjusted tactically as conditions change.
Anchor Bay operates as a team adviser (six advisors, approximately $247 million in AUM) and discloses affiliations that are uncommon among peers: a related broker‑dealer, Anchor Bay Securities, LLC, and associated persons who are licensed insurance agents and tax preparers, creating potential commission and referral conflicts the firm says it manages through its Code of Ethics and portfolio policies. The brochure also notes a few operational distinctions — the firm does not vote client proxies and uses standing letters of authorization for fee transfers — items clients may consider when evaluating custody and governance.
Client services
Expertise
Occupation focus
Fee options
Financial Planning Services fees charged as flat fee based on estimated hours (floor and cap), $500 to $2,500
$0 - $1,000,000: 0.95% to 1.75% annually (ranges, varies by account size and complexity) $1,000,000 - $4,000,000: Typically 1.20% annually $4,000,000+: Generally 1.00% annually
Commissions from sales of mutual funds, annuities, life insurance, and other products through Anchor Bay Securities, LLC, separate from ABC advisory fees
Financial Planning Services fees estimated at $150/hour, with a floor and cap, total fees range $500 to $2,500
Account minimum: $1,000,000 Fee-only: Investment Management Services fees ranging from 0.95% to 1.75% annually; Retirement Plans advisory fees from 0.25% to 0.90% per year; Retirement Plan Participants fees from 0.50% to 0.75% per year; Financial Planning Service fees from $500 to $2,500
Main office
See office5780 Fleet St., Suite 308
Carlsbad CA 92008
Advisors at this office
5
Offices (2)
Most active in
California · Utah · Washington
Also doing business as
Anchor Bay Capital Management, LLC · Anchor Bay Capital, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
Blake P
CFP®, Series 63, Series 65
Carlsbad, CA
Anchor Bay Capital, Inc.
Blake Pinyan is a CFP® professional with six years of experience in financial advising. He is currently with Anchor Bay Capital, Inc., where he has worked since 2020. Prior to this, he held roles at Fidelity Investments, One Degree Advisors, and Weatherly Asset Management. Pinyan serves as president of the National Financial Planning Association NexGen chapter. Anchor Bay Capital, Inc. provides discretionary investment management, financial planning, and retirement-plan services to individuals, business entities, and pension plans. The firm constructs diversified portfolios based on fundamental analysis and independent due diligence, tailoring strategies to each client’s risk profile and financial situation.
Robert N
Series 65
Tustin, CA
Anchor Bay Capital, Inc.
Robert Nathan is a Series 65-licensed financial advisor with Anchor Bay Private Wealth LLC in Tustin, CA, and has two years of industry experience. He has been associated with Anchor Bay Capital, Inc. since 2023 and is also the owner of printOne, a printing brokerage business he started in 1997. Anchor Bay Private Wealth LLC provides investment management, financial planning, and retirement-plan advisory services to individuals, business entities, and pension/profit-sharing plans. The firm employs model-based allocations and fundamental security analysis, serving a client base that includes high-net-worth individuals and institutional clients with ERISA-focused services.
Stacey B
Series 63, Series 66
Carlsbad, CA
Anchor Bay Capital, Inc.
Stacey Buchholtz is a financial advisor at Anchor Bay Capital, Inc. with five years of industry experience. She holds Series 63 and Series 66 licenses and has previously worked at Prudential Insurance Company of America and James Morrison Insurance Services. Outside of her advisory work, she has been the owner and president of Qualified Consumer Exchange, Inc., a health insurance business, since 2017. Anchor Bay Capital, Inc. provides discretionary investment management, financial planning, and retirement-plan services to individuals, businesses, and plan sponsors. The firm constructs diversified portfolios tailored to clients’ risk profiles and financial situations, reviewing and adjusting them regularly through a team of six advisors.
Tanner W
Series 63, Series 66
Carlsbad, CA
Anchor Bay Capital, Inc.
Tanner Wrisley is a financial advisor with Anchor Bay Capital, Inc. in Carlsbad, CA, holding Series 63 and Series 66 licenses and nine years of industry experience. He has held various roles within Anchor Bay entities, including Anchor Bay Securities, LLC and Anchor Bay Private Wealth, LLC. Outside of investment advisory, he is the owner of Anchor Bay Tax & Consulting LLC, which provides tax preparation and estate consulting services. Anchor Bay Capital, Inc. provides discretionary investment management and financial planning services to individuals, business entities, and retirement plans. The firm constructs diversified portfolios based on fundamental analysis, tailoring them to clients’ risk profiles and regularly reviewing them for tactical adjustments.
James A
CFP®, Series 63
Carlsbad, CA
Anchor Bay Capital, Inc.
James Allen is a CFP® with 29 years of experience in the financial services industry. He is currently with Anchor Bay Capital, Inc., where he has worked since 2019, and also serves as president of related entities including Anchor Bay Tax & Consulting LLC and Anchor Bay Private Wealth. Allen is the board chair of the Financial Planning Association of Orange County. Anchor Bay Capital, Inc. provides discretionary investment management, financial planning, and retirement-plan services to individuals, business entities, and pension plans. The firm constructs diversified portfolios based on fundamental analysis and independent due diligence, offering tailored strategies that range from conservative to aggressive to suit client risk profiles.
Cory L
Series 65
Carlsbad, CA
Anchor Bay Capital, Inc.
Cory Large is a financial advisor at Anchor Bay Capital, Inc. with one year of industry experience. He holds a Series 65 designation and has previously worked with the NAU Investment Club, Coastal Media Management, and Coast VBC. Anchor Bay Capital, Inc. provides investment management, financial planning, and retirement-plan services to individuals, business entities, and pension/profit-sharing plans. The firm manages approximately $216.2 million in discretionary assets and constructs diversified portfolios using fundamental analysis and independent research, tailored to client risk profiles and investment policy statements.
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