GoTo Financial
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$64,118,614
Total clients
67
60% high-net worth
Total advisors
2
of 2 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
34
Average account size
$956,994
About
The firm provides portfolio asset management, financial planning and consulting, referrals to third-party money managers, and periodic newsletters to individuals, high-net-worth clients, trusts, estates, and business entities. It emphasizes ongoing account supervision and client meetings to establish objectives and implements portfolios using exchange-traded funds, mutual funds, individual stocks and bonds.
The firm describes a hands-on approach to portfolio management with at least quarterly reviews and may rebalance or adjust accounts as needed; it also invests client cash in conservative instruments such as money market funds and CDs. Its stated investment toolbox includes active techniques not always typical for similarly sized advisers—short-term trading, margin, short sales and option writing—and it relies on custodial and research arrangements with Schwab Institutional.
Several operational features distinguish the firm from many peers: it refers clients to third-party money managers and discloses receiving ongoing payments from those managers, one principal holds FINRA Series 6, 7, 63 and 66 licenses, and the firm operates a separate financial software business (Asset Planet) noted as consuming significant time. The brochure also discloses use of Schwab-provided research and brokerage services (soft-dollar benefits) and formal personal-trading controls and a Code of Ethics.
Client services
Expertise
Fee options
Generally ranges from $995 to $7,500
0.35% - 1.25% (negotiated per client contract)
$650 per hour
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Other specialized services
They may provide services such as pension consulting or municipal advisory work, 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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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.
Forms ADV
Quick links
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