Ai Financial, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$5,000,000
Clients
10
0% 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
$500,000
About
Ai Financial, Inc. is an independent investment advisory firm operated by a single advisor, managing approximately $5 million for about ten clients. The firm provides portfolio management services for individual clients and, as disclosed in its Form ADV, also manages accounts for institutional and business clients.
The brochure indicates the firm generally charges advisory fees on a percentage-of-AUM basis and describes its methods of analysis, investment strategies, and risk considerations in Item 8 of the Form ADV. The document also discloses relationships with other investment advisers and an affiliation with an accounting firm, which the firm uses to coordinate investment management with accounting and tax considerations.
What is noteworthy is the firm’s client mix given its small size: Ai Financial reports serving several client types that are uncommon for solo independent advisers, including sovereign wealth funds, banking or thrift institutions, insurance companies, state and municipal governments, charitable organizations, corporate clients and pension or profit-sharing plans. That combination of individual and institutional work, plus the affiliation with an accounting firm and work for other advisers, distinguishes its practice from many peers.
Client services
Financial planning
Portfolio management
Fee options
Main office location
Ai Financial, Inc.
4356 Cochran St
Simi Valley CA 93063, United States
Number of offices
1
Most active in
Ai Financial, Inc. 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:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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.
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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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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
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