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PACIFIC POINT WEALTH MANAGEMENT

CARLSBAD, CA · CRD 338392 · IAPD ↗ · (858)-248-7054

$6.5MRegulatory AUM
5Advisory reps
5Employees
0Clients
0Planning clients
0Private funds
1States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
April 2026 — PACIFIC POINT WEALTH MANAGEMENT (CARLSBAD, CA) left the SEC roster — its 120-day provisional registration did not convert (was $6.5M RAUM, 5 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
65
February 2026 — PACIFIC POINT WEALTH MANAGEMENT now reports custody of client assets.
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
75
February 2026 — PACIFIC POINT WEALTH MANAGEMENT now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
67
January 2026 — PACIFIC POINT WEALTH MANAGEMENT grew from 2 to 4 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
95
December 2025 — PACIFIC POINT WEALTH MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) 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.