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DUCERE WEALTH MANAGEMENT

NEWPORT BEACH, CA · CRD 337471 · IAPD ↗ · ducerewealth.com · 714-393-0959

$503.8MRegulatory AUM
6Advisory reps
11Employees
0Clients
101-250Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
March 2026 — DUCERE WEALTH MANAGEMENT crossed $500M in regulatory AUM ($329.8M -> $503.8M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
73
March 2026 — DUCERE WEALTH MANAGEMENT's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
March 2026 — DUCERE WEALTH MANAGEMENT reports 101-250 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
53
December 2025 — DUCERE WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
72
December 2025 — DUCERE WEALTH MANAGEMENT grew from 2 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
95
August 2025 — DUCERE WEALTH MANAGEMENT (NEWPORT BEACH, CA) is newly SEC-registered with $0 RAUM and 2 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.