Pleasanton Wealth
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$5,400,910
Clients
30
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
30
TypicalAverage account size
$180,030
About
Pleasanton Wealth serves individuals, families, trusts, estates, business entities, charitable organizations and retirement/pension plans, offering comprehensive financial planning, retirement and estate planning, tax and risk-management advice, and ongoing investment management. The firm provides portfolio management on both discretionary and non-discretionary bases and also accepts planning-only engagements separate from asset management.
The advisor constructs customized portfolios using a strategic asset-allocation framework with periodic rebalancing and draws on multiple analysis techniques (fundamental, technical, quantitative, qualitative and cyclical) to align investments with clients’ risk tolerances and time horizons. Pleasanton Wealth discloses that a substantial portion of assets may be managed on a non-discretionary basis, which requires client approval for trade implementation and is treated as more time-intensive with negotiated terms.
Compared with many solo practitioners of similar size, Pleasanton Wealth offers formal retirement plan and pension consulting services—including creation of investment policy statements, plan- and participant-level advisory options, performance monitoring, and the ability to act as an ERISA 3(21)/3(38) fiduciary. The firm also provides educational meetings and seminars for participants and prospects and makes non-asset-based planning engagements available, features that are less common among independent advisers.
Client services
Financial planning
Portfolio management
Pension consulting
Educational seminars or workshops
Expertise
General retirement planning
Wealth management
General tax planning
Equity Recipients (RS/RSU, SOP, ESPP)
Fee options
Negotiated flat fees for financial planning; financial plan fees typically $2,500 to $5,000
$0 - $500,000.00: 1.00% $500,000.01 - $1,000,000.00: 0.75% $1,000,000.01 - $5,000,000.00: 0.50% $5,000,000.01+: Negotiated
$250.00 per hour for financial planning services
Account minimum: $250,000.00 Fee-only: Financial planning fees typically range between $2,500 and $5,000; hourly fees $250/hour; flat fees negotiated
Main office location
Pleasanton Wealth
218 Ray Street
Pleasanton CA 94566, United States
Number of offices
1
Most active in
Pleasanton Wealth 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:
-
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.
-
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.
-
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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