AdvisorRanked
71
Some Concerns

HOLLENCREST CAPITAL MANAGEMENT

100 BAYVIEW CIRCLE, NEWPORT BEACH, CA 92660-8903
Fiduciaryfee-onlySEC Registered
949-737-7700 www.linkedin.com/company/hollencrest-capital-management/ CRD #46217
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$2.9B
Assets Managed
19
Clients
19
Employees
28
Years Active
since 1998

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46111. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: No

No broker-dealer affiliation. Lower risk of commission-driven advice.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: Yes

This firm has direct custody of client assets, rather than using an independent custodian. This is a higher-risk arrangement that requires additional regulatory safeguards.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46111

3 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 3

Complaint ratio: 15.79 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameHOLLENCREST CAPITAL MANAGEMENT
CRD Number#46217
SEC RegisteredYes
Registration Date1998-10-02
States RegisteredCA
Assets Under Management$2.9B
Number of Clients19
Employees19
Compensation Typefee-only
Last ADV Filing46111

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Frequently Asked Questions

Is HOLLENCREST CAPITAL MANAGEMENT a fiduciary?

Yes. HOLLENCREST CAPITAL MANAGEMENT is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.

How does HOLLENCREST CAPITAL MANAGEMENT charge clients?

HOLLENCREST CAPITAL MANAGEMENT uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does HOLLENCREST CAPITAL MANAGEMENT have any complaints?

Yes. HOLLENCREST CAPITAL MANAGEMENT has 3 complaint(s) on record. Their complaint ratio is 15.79 per 100 clients (industry average: ~0.15).

How does HOLLENCREST CAPITAL MANAGEMENT compare to other advisors in NEWPORT BEACH?

HOLLENCREST CAPITAL MANAGEMENT has a Red Flag Score of 71/100. There are 75 registered advisory firms in NEWPORT BEACH. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46111. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.