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BW & ASSOCIATES, INC.

ORANGE, CA · CRD 116471 · IAPD ↗ · bwandassociatesinc.com · 714-998-2077

$692.8MRegulatory AUM
2Advisory reps
5Employees
0Clients
51-100Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
February 2026 — BW & ASSOCIATES, INC. notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
67
April 2025 — BW & ASSOCIATES, INC. reports 51-100 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2024 — BW & ASSOCIATES, INC. crossed $500M in regulatory AUM ($442.6M -> $523.4M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

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