SoCal Planners, Inc
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$1,225,288
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
18
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
18
LowAverage account size
$68,072
About
The firm provides investment supervisory services, financial planning, and periodic investment advice to individuals, trusts, 401(k) participants and business entities. It operates on a fee basis for asset management and planning and also discloses offering tax-preparation and insurance/annuity services as part of its broader client support.
Advisory services are delivered through a consultative, non‑discretionary model in which the firm documents client objectives, recommends investment strategies, and obtains client approval before effecting trades; account reviews are performed at least quarterly and methods of analysis include fundamental, technical and cyclical approaches. Clients receive written account statements from custodians and may engage the firm for hourly or flat-fee periodic advice in addition to ongoing portfolio management.
Noteworthy distinctions disclosed in the brochure include that the firm’s principal maintains a tax‑preparation practice and is a licensed life insurance agent, activities the firm identifies as potential conflicts of interest, and that a substantial portion of assets under management are handled on a non‑discretionary basis. The brochure also discloses soft‑dollar benefits from its preferred custodian and references third‑party ratings in its materials, items that are less common among independent, single‑advisor firms.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Income planning
Annuities
General tax planning
Life insurance needs analysis
Occupation focus
Self-Employed
Fee options
Financial planning services starting at $2,000, negotiable
$0 - $5,000: 2.25% annually $5,000 - $10,000: 2.00% annually $10,000 - $150,000: 1.75% annually $150,000 - $500,000: 1.25% annually $500,000 - $1,000,000: 1.00% annually $1,000,000+: 0.75% annually Any Assets (401(k) Plans)+: 0.50% annually
May receive commissions from third parties for sale of fixed life insurance or fixed annuity contracts
$300 per hour for periodic investment advice
Account minimum: $5,000 initial deposit or $100 monthly scheduled minimum investment; $30,000 minimum account balance for ongoing financial planning services and online access (minimums negotiable) Fee-only: Financial planning starting at $2,000, negotiable; hourly fee $300/hour
Main office location
SoCal Planners, Inc
28245 Ave Crocker, Suite 100
Valencia CA 91355, United States
Number of offices
1
Most active in
SoCal Planners, Inc 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:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
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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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
Quick links
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