Beyond Financial Services
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$172,920,435
Clients
115
50% high-net worth
Advisors
1
of 4 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
115
Very HighAverage account size
$1,503,656
About
Beyond Financial Services provides investment advice and financial planning to individuals and families, including high‑net‑worth clients, trusts, estates, special needs trustees, conservatorships, and non‑profit organizations. Services include individualized portfolio management (for investment accounts held at Raymond James), financial planning, and ancillary guidance on estate and charitable gifting matters.
The firm conducts client reviews of objectives, cash flow, constraints, and risk tolerance and makes specific allocation and security recommendations that are implemented only with client consent; the brochure reports the firm manages approximately $176.7 million in non‑discretionary accounts. Investments are reviewed by an internal Investment Management Committee and monitored periodically, and clients are asked to notify the advisor of material changes so recommendations can be adjusted as needed.
What is distinctive for this firm relative to peers is its primary reliance on non‑discretionary management — all recommendations require client approval before execution, which is uncommon among similar advisory practices. The advisor’s dual role as a Registered Representative and branch manager at Raymond James, plus the firm’s stated involvement in special‑needs planning, public‑benefit (Medi‑Cal) assistance and conservatorship work, and the offering of non‑advisory insurance products, creates a set of service and execution relationships that differ from many peers.
Client services
Financial planning
Portfolio management
Expertise
Elder care planning
Charitable giving & philanthropy
Life insurance needs analysis
Annuities
Occupation focus
Self-Employed
Demographic focus
Parents
Sandwich Generation
Fee options
Flat fees for specific financial planning or other services, billed directly to clients
$0 - $500,000: 1.25% annually $500,001 - $1,000,000: 1.00% annually $1,000,001 - $2,000,000: 0.80% annually $2,000,001+: 0.60% annually
Commissions received from transactional business through Raymond James Financial Services, Inc., including insurance product sales held outside advisory accounts
Hourly fee for initial consultation at $350 per hour; other hourly fees up to $500 per hour for non-asset based services
Account minimum: $200,000 Fee-only: Hourly fee of $350 per hour for initial consultation (refunded if advisory services are engaged); fixed fees and hourly charges for non-asset based services, generally not exceeding $500 per hour
Main office location
Beyond Financial Services
39560 Stevenson Place, Suite 111
Fremont CA 94539, United States
Number of offices
2
Most active in
Beyond Financial Services 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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