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MONTEREY PRIVATE WEALTH, INC.

MONTEREY, CA · CRD 114572 · IAPD ↗ · (831) 372-3426

$1.10BRegulatory AUM
8Advisory reps
13Employees
35Clients
26-50Planning clients
0Private funds
12States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
July 2025 — MONTEREY PRIVATE WEALTH, INC. (MONTEREY, CA) left the SEC roster (was $1.10B RAUM, 8 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
63
April 2025 — MONTEREY PRIVATE WEALTH, INC. reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
49
December 2024 — MONTEREY PRIVATE WEALTH, INC. notice-filed in NC, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
June 2024 — MONTEREY PRIVATE WEALTH, INC. notice-filed in MI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
85
May 2024 — MONTEREY PRIVATE WEALTH, INC. crossed $1B in regulatory AUM ($965.9M -> $1.01B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.