Cardiff Park Advisors

2257 Vista La Nisa

Carlsbad, CA 92009

(760) 635-7526

www.cardiffpark.com

Asset Breakdown

Total AUM Total Accounts Avg. Account AUM
Discretionary $0 0 $0
Non-discretionary $572,296,870 229 $2,499,113
Total $572,296,870 229 $2,499,113

Staff

Employees 3

Clients

High-net-worth individuals 76-99%
Financial planning clients 101-250

Clients

High-net-worth client assets More than 75%

Compensation

Percentage of assets under management No
Hourly charges No
Subscription fees No
Fixed fees Yes
Commissions No
Performance-based fees No

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Reprints: For reprints of these rankings, please contact Laura Picariello.

*Methodology: InvestmentNews qualified firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of May 1. To qualify, firms must have met the following criteria: (1) Latest ADV filing date is either on or after Jan. 1, 2012. (2) Total AUM is at least $100M. (3) Does not have employees who are registered representatives of a broker-dealer. (4) Provided investment advisory services to clients during its most recently completed fiscal year. (5) No more than 50% of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies). (6) No more than 25% of regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants). (7) No more than 25% of regulatory assets under management is attributable to corporations or other businesses. (8) Does not receive commissions. (9) Provides financial planning services. (10) Is not actively engaged in business as a broker-dealer (registered or unregistered). (11) Is not actively engaged in business as a registered representative of a broker-dealer. (12) Has neither a related person who is a broker-dealer/municipal securities dealer/government securities broker or dealer (registered or unregistered) nor one who is an insurance company or agency.

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