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THECE WEALTH MANAGEMENT

NEWPORT BEACH, CA · CRD 333246 · IAPD ↗ · thece.com · (949) 775-5115

$0Regulatory AUM
4Advisory reps
8Employees
0Clients
0Planning clients
0Private funds
5States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
January 2025 — THECE WEALTH MANAGEMENT (NEWPORT BEACH, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 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
68
December 2024 — THECE WEALTH MANAGEMENT grew from 1 to 4 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
95
November 2024 — THECE WEALTH MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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