AdvisorRanked
87
Clean

ROW ASSET MANAGEMENT, LLC

450 NEWPORT CENTER DRIVE, NEWPORT BEACH, CA 92660
Fiduciaryfee-onlySEC Registered
949-478-8300 HTTP://WWW.ROWAM.COM CRD #168336
Visit Website
$2.5B
Assets Managed
10
Clients
20
Employees
13
Years Active
since 2013

Compensation Model

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

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46112. 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

complaint46112

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

Resolved

Total complaints on record: 1

Complaint ratio: 10.00 per 100 clients

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

Firm Details

Legal NameROW ASSET MANAGEMENT, LLC
CRD Number#168336
SEC RegisteredYes
Registration Date2013-07-15
States RegisteredCA
Assets Under Management$2.5B
Number of Clients10
Employees20
Compensation Typefee-only
Last ADV Filing46112

Other Advisors in NEWPORT BEACH

100

FELL CAPITAL MANAGEMENT

NEWPORT BEACH, CA · Since 1989

$162M AUM1 clientsFee: 0%
FiduciaryFee-Only
100

AFFINITY INVESTMENT ADVISORS, LLC

NEWPORT BEACH, CA · Since 1992

$1.2B AUM4 clientsFee: 0%
FiduciaryFee-Only
100

COMPAK ASSET MANAGEMENT

NEWPORT BEACH, CA · Since 2000

$1.5B AUM14 clientsFee: 0%
FiduciaryFee-Only
View all advisors in NEWPORT BEACH →

Frequently Asked Questions

Is ROW ASSET MANAGEMENT, LLC a fiduciary?

Yes. ROW ASSET MANAGEMENT, LLC 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 ROW ASSET MANAGEMENT, LLC charge clients?

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

Does ROW ASSET MANAGEMENT, LLC have any complaints?

Yes. ROW ASSET MANAGEMENT, LLC has 1 complaint(s) on record. Their complaint ratio is 10.00 per 100 clients (industry average: ~0.15).

How does ROW ASSET MANAGEMENT, LLC compare to other advisors in NEWPORT BEACH?

ROW ASSET MANAGEMENT, LLC has a Red Flag Score of 87/100. 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: 46112. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.