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PRESTON CAPITAL

ALISO VIEJO, CA · CRD 328417 · IAPD ↗ · prestoncap.com · 949-272-2000

$1.05BRegulatory AUM
9Advisory reps
18Employees
0Clients
n/aPlanning clients
2Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

32
April 2025 — PRESTON CAPITAL notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
60
May 2024 — PRESTON CAPITAL's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
40
April 2024 — PRESTON CAPITAL added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
April 2024 — PRESTON CAPITAL now reports custody of client assets ($1.04B).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
60
April 2024 — PRESTON CAPITAL grew from 4 to 9 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
70
April 2024 — PRESTON CAPITAL crossed $1B in regulatory AUM ($100 -> $1.04B).
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.