Fleming & Associates, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$59,772,941
Clients
121
28% 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
121
Very HighAverage account size
$493,991
About
Fleming & Associates provides ongoing portfolio management and financial planning to individuals, high‑net‑worth clients, and corporate pension and profit‑sharing plans. The firm also directs some clients to third‑party advisers and recommends a wrap fee program as part of its service offerings.
The firm’s investment process emphasizes fundamental analysis and the creation of a written Investment Policy Statement that documents each client’s goals, risk tolerance, time horizon, asset allocation, and regular monitoring. It offers written financial plans on fixed or hourly terms and conducts periodic educational seminars and workshops for clients and the general public at no charge.
Distinctive features include that the sole adviser is separately licensed to sell insurance products and accepts commissions for those sales — an outside business activity the firm discloses and documents as a potential conflict of interest. The firm also works with institutional retirement clients and directs some accounts to a specific third‑party manager and to Charles Schwab Advisor Services for custody and institutional support.
Client services
Financial planning
Portfolio management
Selection of other advisers
Educational seminars or workshops
Expertise
Wealth management
Annuities
General retirement planning
Fee options
Up to $10,000 for financial planning; $1,500 annual renewal fee
$0 - $500,000: 1.00% $500,001 - $1,000,000: 1.00% $1,000,001+: 1.00%
Insurance product sales commissions
Up to $500 per hour
Fee-only: Fixed fees up to $10,000; Hourly fees up to $500
Main office location
Fleming & Associates, LLC
350 10 Th Ave., Ste 1000
San Diego CA 92101, United States
Number of offices
1
Most active in
Fleming & Associates, LLC 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.
-
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.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
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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