A
ASL Financial, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$155,930,451
This total excludes 14 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
176
63% 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
176
Very HighAverage account size
$885,968
About
ASL Financial, LLC is an independent, single-advisor registered investment adviser that provides portfolio management, financial planning, and consulting to individuals (including both non‑HNW and high‑net‑worth clients), corporations, and pension or profit‑sharing plans. The firm also offers tax preparation and insurance implementation services through the principal’s separate professional licenses, which clients may elect to use independently.
The firm manages accounts using the VISION2020 Advisor Managed Portfolios platform, employing asset‑allocation software, risk‑tolerance questionnaires, portfolio optimization, and rebalancing; accounts can be managed on either a discretionary or non‑discretionary basis with custodial and clearing services provided through Pershing. ASL Financial offers a wrap fee account option as part of the program, in which transaction and advisory services are bundled and administered through the program sponsor.
What is notable compared with many independent peers is that the firm acts as a sponsor of a wrap fee program—an uncommon role for firms of this type—and includes pension/profit‑sharing plan clients among its client types. The firm’s sole owner also holds CFP, CDFA, and Enrolled Agent credentials and is separately licensed as a broker‑dealer representative and insurance agent, providing an ability to deliver integrated tax, insurance, and advisory services while leaving implementation decisions to clients.
Client services
Financial planning
Portfolio management
Consulting
Expertise
Options & derivatives strategies
Divorce financial planning
Demographic focus
Divorced
Fee options
Fixed fees for financial planning typically range from $500 to $5,000 depending on complexity.
$50,000 - $99,999.99: 2.50% per annum $100,000 - $249,999.99: 2.30% per annum $250,000 - $499,999.99: 2.05% per annum $500,000 - $749,999.99: 1.80% per annum $750,000 - $1,249,999.99: 1.55% per annum $1,250,000 - $1,999,999.99: 1.30% per annum $2,000,000 - $4,999,999.99: 1.05% per annum $5,000,000 - $24,999,999.99: 0.80% per annum
Separate commission compensation may be earned by registered representatives for securities transactions; commissions are separate and distinct from advisory fees.
Hourly consulting fees range from $300 to $500 per hour, depending on client circumstances.
Account minimum: $50,000 Fee-only: Financial planning and consulting services fixed fees typically range from $500 to $5,000; hourly fees range from $300 to $500 per hour.
Main office location
ASL Financial, LLC
987 University Avenue, Suite 8
Los Gatos CA 95032, United States
Number of offices
1
Most active in
ASL Financial, LLC has reported serving >5 clients in these states in the last 12 months.
California · Texas
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 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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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.
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