Laguna Capital Management, Inc.

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Client assets under management

$86,094,188

Clients

104

26% high-net worth

Advisors

of 3 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Low

Average account size

$827,829

About

Laguna Capital Management serves individuals (including high-net-worth clients), trusts, estates, and corporate and retirement plan sponsors, providing asset management, financial planning, and retirement plan consulting. The firm also works with clients on annuity analysis and can manage sub-accounts of variable annuities through a third‑party platform.

The firm delivers personalized, discretionary portfolio management with ongoing monitoring and rebalancing, using a broad toolkit of securities — including individual stocks and bonds, mutual funds and ETFs — and engaging in more active strategies when appropriate. Its stated investment techniques include margin transactions and short sales, as well as option writing and the use of leveraged ETFs, indicating the firm employs borrowing and derivatives within managed accounts.

Compared with peers, Laguna is a small supported adviser (three advisors, under $100 million in AUM) that explicitly incorporates margin, short-selling and options strategies into client portfolios and offers annuity conversion and variable‑annuity sub‑account management via DPL Financial Partners. The combination of these active trading tools and direct annuity-management capability is less common among similarly sized support-category firms.

Client services

Financial planning Portfolio management Pension consulting

Expertise

Annuities Options & derivatives strategies Passive / index investing Wealth management

Fee options

Fixed

Retirement Plan Consulting may be charged a flat fee; also applicable for some consulting engagements

Project-based

Up to $350 per hour for Financial Planning & Consulting; Retirement Plan Consulting may be hourly

Other

Minimum fee: $350 minimum fee for Financial Planning or Consulting Engagements Fee-only: Financial Planning & Consulting charged on an hourly basis up to $350/hour

Main office location

Laguna Capital Management, Inc.

1225 Coast Village Road, Suite G

Santa Barbara CA 93108, United States

Number of offices

Most active in

California · Nebraska · Oklahoma

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

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

Form ADV Part 2: Client Brochure

Quick links

X Website 805-969-9935

Advisors at this firm

Joshua K

Series 63, Series 65

Santa Barbara, CA

Laguna Capital Management, Inc.

Joshua Keith is a financial advisor at Laguna Capital Management, Inc. in Santa Barbara, CA, holding Series 63 and Series 65 licenses with 10 years of industry experience. He has been with Laguna Capital Management since 2015, working as part of a five-advisor team. Laguna Capital Management serves individuals, high net worth clients, trusts, estates, and business entities with asset management, financial planning, and retirement plan consulting. The firm uses tailored portfolios and a combination of fundamental, technical, and chart analysis, employing derivatives and borrowing strategies for hedging and tactical trading.

Annuities Options & derivatives strategies Passive / index investing Wealth management

Robert K

Series 63

Santa Barbara, CA

Laguna Capital Management, Inc.

Robert Keith is a financial advisor at Laguna Capital Management, Inc. in Santa Barbara, CA, with 51 years of industry experience. He previously worked at Purshe Kaplan Sterling Investments and managed the Keith Limited Family Partnership. He holds a Series 63 designation. Laguna Capital Management serves individuals, high net worth clients, trusts, estates, and business entities with asset management, financial planning, and retirement plan consulting. The firm emphasizes tailored portfolios, ongoing monitoring, and employs fundamental, technical, and chart analysis, using derivatives and borrowing strategies for hedging and tactical trading.

Annuities Options & derivatives strategies Passive / index investing Wealth management

Jonathan K

CFP®, Series 66

Jenks, OK

Laguna Capital Management, Inc.

Jonathan Keith is a CFP® and holds a Series 66 license with 13 years of industry experience. He has been with Laguna Capital Management, Inc. since 2015, where he is part of a five-advisor team based in Jenks, Oklahoma. Laguna Capital Management serves individuals, high net worth clients, trusts, estates, and business entities with asset management, financial planning, and retirement plan consulting. The firm focuses on tailored portfolios and employs a range of investment strategies, including derivatives and borrowing, to support hedging and tactical trading.

Annuities Options & derivatives strategies Passive / index investing Wealth management

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