Southern California Wealth Management Associates
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Southern California Wealth Management Associates serves individual and high‑net‑worth clients with ongoing portfolio management and client‑specific Investment Policy Statements. The small advisory team (two advisors) manages about $34 million across roughly 115 client accounts and typically requests discretionary authority to implement client portfolios.
The firm uses a range of analytical methods — including charting, cyclical, fundamental, quantitative and technical analysis — and employs both long‑term and short‑term trading strategies. Its investment menu includes mutual funds, ETFs (including precious‑metals ETFs), fixed income, real estate funds/REITs, private placements and insurance products, and the firm documents client risk tolerance and objectives in each client’s IPS.
A noteworthy disclosure in the brochure is a prior FINRA regulatory action involving the firm’s principal (a 2011 fine and suspension), which the firm reports in its disciplinary section. The brochure also discloses that supervised persons may act as registered representatives and licensed insurance agents (receiving outside compensation), that the firm may accept soft‑dollar benefits, and that it requires clients to use a specific custodian for account custody and trade execution.
Client services
Expertise
Fee options
Up to 2.25% annually, single tier for all assets
Main office
655 Deep Valley Dr., Suite 125 B
Rolling Hills Estates CA 90274
Advisors at this office
3
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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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.
Forms ADV
Advisors at this firm
Helen L
Series 66
Rolling Hills Estates, CA
Southern California Wealth Management Associates
Helen Lin is a Series 66-licensed advisor with Southern California Wealth Management Associates, bringing 22 years of industry experience. She previously worked at Western International Securities, Inc. and Financial West Group. Lin is also involved as a registered representative with Emerson Equity LLC and conducts fixed life insurance and annuity sales as a sole proprietor. Southern California Wealth Management Associates serves individual and high-net-worth clients with ongoing portfolio management and customized Investment Policy Statements. The firm employs various analytical methods and both long- and short-term trading strategies across a diverse range of investment products.
Scott O
Series 63
Rolling Hills Estates, CA
Southern California Wealth Management Associates
Scott Ozer is a financial advisor at Southern California Wealth Management Associates with 44 years of industry experience. He holds a Series 63 designation and has worked at Emerson Equity LLC and Sandlapper Securities, LLC prior to joining his current firm. Southern California Wealth Management Associates serves individual and high-net-worth clients with portfolio management and client-specific Investment Policy Statements. The firm manages approximately $34 million across 115 client accounts, using a variety of analytical methods and both long- and short-term trading strategies.
Terry T
Series 63
Rolling Hills Estates, CA
Southern California Wealth Management Associates
Terry Tang is a financial advisor at Southern California Wealth Management Associates with 31 years of industry experience. He holds a Series 63 designation and has worked at firms including Emerson Equity LLC and Western International Securities. Outside of his advisory role, Tang serves as president of a nonprofit organization focused on fundraising for medical and dental mission trips. Southern California Wealth Management Associates serves individual and high-net-worth clients by providing ongoing portfolio management and client-specific investment policy statements. The firm employs various analytical methods and trading strategies, managing approximately $34 million across 115 client accounts.
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