C
Castaneda Financial Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$18,126,087
Clients
16
44% 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
16
LowAverage account size
$1,132,880
About
Castañeda Financial Management LLC provides discretionary portfolio management and complementary financial planning primarily to individual and high-net-worth clients. The firm develops an Investment Policy Statement for each client and tailors ongoing account management to individual goals, time horizons and risk tolerances.
CFML’s investment process combines multiple methods of analysis — including charting, fundamental and technical analysis, quantitative models, and modern portfolio theory — and generally implements a long-term trading strategy. The firm limits its advice to instruments such as mutual funds, fixed income, real estate funds/REITs, ETFs (including precious-metal ETFs), annuities, commodities and certain non-U.S. securities, and states a policy of seeking fair allocation of investment opportunities across client accounts.
A distinctive feature is that the firm’s principal is a licensed insurance agent and may recommend and sell insurance products (including annuities), a relationship CFML discloses and manages as a potential conflict of interest. The firm also requires clients to custody assets at Schwab Institutional, does not delegate to third‑party investment managers, and operates with a relatively small, concentrated client base given its assets under management.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
Annuities
Fee options
$0 - $1,000,000: 1.00% $1,000,001 - $2,000,000: 0.90% $2,000,001 - $3,000,000: 0.80% $3,000,001+: 0.70%
Main office location
Castaneda Financial Management
Phoenix AZ, United States
Number of offices
1
Most active in
Castaneda Financial Management has reported serving >5 clients in these states in the last 12 months.
Arizona
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:
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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.
Forms ADV
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