O
Ogden, Thomas
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Clients per advisor
0
Average account size
—
About
The firm provides investment management and related advisory services to institutional clients and plan sponsors, including retirement plans, businesses, trusts, and charitable organizations. Offerings include wealth management, financial planning, and retirement-plan advisory and oversight tailored to plan sponsors and participants.
The firm delivers advice primarily on a non-discretionary basis, constructing portfolios using ETFs, equities, mutual funds, bonds and, when appropriate, alternative and structured products, and it uses both fundamental and technical analysis with a long-term orientation. It may implement strategies directly or recommend unaffiliated independent managers, conducting ongoing due diligence and oversight of any selected managers.
The firm is led by a licensed attorney and is affiliated with an active law practice, a relationship the firm discloses and manages to address potential conflicts if clients seek both legal and advisory services. It also provides ERISA fiduciary retirement-plan consulting and makes standalone hourly financial-planning engagements available—features that are less common among peers in this firm category.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Wealth management
Retirement plans for business owners (SEP, solo 401k)
Fee options
$0+: 0.85% annually unspecified - unspecified: up to 1.2% annually
$500 per hour for standalone financial planning; negotiable
Fee-only: 0.85% to 1.2% annually based on assets and services; negotiable fees
Main office location
Ogden, Thomas
Monterey CA, United States
Number of offices
1
Most active in
Ogden, Thomas 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:
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
-
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.
-
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.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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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