3D Holistic Wealth
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$4,776,607
Clients
10
50% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
10
LowAverage account size
$477,661
About
The firm provides discretionary investment management, ongoing and project-based financial planning, and cash-management advisory services to a small, concentrated client base made up primarily of high-net-worth individuals and corporations or other businesses. It does not emphasize service to retail non-high-net-worth individuals and operates as a fee-only adviser without a stated account minimum.
Investment decisions are guided by a combination of fundamental and technical analysis within a modern-portfolio-theory framework, using both passive and active funds as appropriate to clients’ goals and risk tolerances. The brochure discloses the use of derivatives and structured products within separately managed accounts and a sub-advisory relationship with SyntheticFi LLC to implement derivative-based trades (including synthetic loan/box-spread strategies).
Noteworthy distinctions include the principal’s concurrent outside employment and management roles in other investment and real estate entities, plus insurance licensure while operating on a fee-only basis and not accepting commissions for client insurance or annuity business. The firm also offers educational seminars and speaking engagements to organizations and the public, a service line that is less common among similarly structured independent advisers.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
Options & derivatives strategies
Business ownership considerations
Retirement income strategy
Cash flow / budgeting
Occupation focus
Founder/Business Owner
Executive
Fee options
Fixed fees for Project-Based Financial Planning range from $1,500 to $10,000; Educational Seminars fees range from $1,000 to $10,000 per seminar or $50 to $500 per participant.
$0 - $250,000: 1.05%-1.25% $250,001 - $2,500,000: 0.95%-1.05% $2,500,001+: 0.75%-0.85%
$300 per hour for Project-Based Financial Planning
Ongoing Financial Planning fees paid quarterly in arrears, ranging from $150 to $1,000 per quarter; initial fixed fee up to $10,000 for initial plan construction (may be waived or reduced).
Fee-only: Firm is fee-only; compensation solely from clients, no commissions or sales-based compensation.
Main office location
3D Holistic Wealth
Irvine CA, United States
Number of offices
2
Most active in
3D Holistic Wealth has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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