John Patrick Dunphy

Employer firm

Cwm, LLC CRD 155344

$50.6B regulatory AUM 248 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORY FIRMS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/1995 → 06/2024
  Securities America, Inc.
  Newport Beach, CA
• 02/1996 → 01/2025
  John Dunphy
  Newport Beach, CA
• 08/1996 → 01/2025
  Haussmann Financial, Inc.
  Newport Beach, CA
• 06/2024 → 01/2025
  Osaic Wealth, Inc.
  Lake Forest, CA
• 01/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 01/2025 → Present
  Cwm, Llc Dba Carson Partners
  Lake Forest, CA
• 08/2017 → Present
  John & Kolleen Dunphy
  Lake Forest, CA
• 01/2025 → Present
  Twin Pines Wealth Management, Llc
  Lake Forest, CA
• 01/2025 → Present
  John Dunphy Financial Planning
  Lake Forest, CA

Previous Registrations

• 1997-02-11 → 2025-01-17
  Haussmann Financial Inc.
  Newport Beach, CA
  Lake Forest, CA

Other Businesses

1. NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SEPOSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR START DATE: 01/2025 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOUBRIEF DESCRIPTION OF DUTIES: OFFER ADVISORY SERVICES TO MY CLIENTS IN MY CAPACITY AS AN ADVISOR. 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITVARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/1997 APXNUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION ODUTIES: SELLS FIXED INSURANCE PRODUCTS 3. NAME OF OTHER BUSINESS: JOHN & KOLLEEN DUNPHY INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIALOCATION NATURE OF BUSINESS: PROPERTY RENTAL START DATE: 08/2017 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUOF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: LANDLORD DUTIES 4. NAME OF OTHER BUSINESS: TWIN PINES WEALTH MANAGEMENT, LINVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2025POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUPROVIDE FINANCIAL SERVICES 5. NAME OF OTHER BUSINESS: JOHN DUNPHY FINANCIAL PLANNING INVESTMENT RELATED: YES ADDRESS: SAME ASRESIDENTIALLOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2025 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PWEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: DBA FOR TAX PURPOSES

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-10-11
• S63 Uniform Securities Agent State Law Examination
  1995-10-09