Investment Dept.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$180,010
Clients
1
0% 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
1
Very LowAverage account size
$180,010
About
The firm provides discretionary investment management and limited financial planning exclusively to a small number of the principal’s personal friends and family and is not accepting new advisory clients. Client assets are held at independent third-party custodians and managed under written discretionary agreements.
Investment Dept. uses a goals‑based and risk‑based approach, typically implementing diversified portfolios with ETFs, mutual funds, U.S. equities, fixed income, and periodic rebalancing tailored to each client’s objectives and constraints. Advisory services are delivered on a no‑fee basis and the firm relies on custodial statements and third‑party execution (the firm generally recommends Interactive Brokers).
The firm is notable among investment managers for serving individual friends‑and‑family clients rather than pooled vehicles or institutional mandates and operates at a small scale (about $180,010 in discretionary AUM as of 12/31/2025). The principal performs the advisory work part‑time outside a full‑time corporate role, maintains personal trading subject to a Code of Ethics, and emphasizes trade priority and disclosure to manage conflicts arising from personal relationships.
Client services
Financial planning
Portfolio management
Expertise
Cash flow / budgeting
General retirement planning
College savings (529s, UTMA, etc.)
General estate planning guidance
General tax planning
Main office location
Investment Dept.
West Hollywood CA, United States
Number of offices
1
Most active in
Investment Dept. 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 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.
Forms ADV
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