Wasi
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$58,970,179
Clients
429
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
429
Very HighAverage account size
$137,460
About
WASI provides investment advisory and asset-management services to individuals, with a stated specialization serving employees of not‑for‑profit organizations, self‑employed individuals, and clients transferring or establishing retirement plan accounts. Services focus on portfolio management using mutual funds and ETFs (with limited individual stock advice), along with ongoing supervisory, administrative, and account‑implementation support.
The firm emphasizes a long‑term buy‑and‑hold approach built from diversified mutual‑fund/ETF portfolios, drawing on fundamental, technical and cyclical analysis and daily market monitoring. Uncommonly for peers, WASI manages client accounts primarily on a non‑discretionary basis, requiring client approval for trade implementation and potentially affecting trade timing.
WASI’s single‑advisor model supports an unusually large client roster—429 clients are reported and reviewers are described as handling 200–500 accounts—and the firm communicates with clients via a quarterly newsletter and a mutual‑fund performance list. The brochure also notes the firm does not take custody of client assets and does not vote client proxies, while limiting recommended securities primarily to mutual funds and ETFs.
Client services
Portfolio management
Newsletters or periodicals
Expertise
Annuities
Occupation focus
Self-Employed
Fee options
$0 - $250,000: 1.5% $250,000 - $500,000: 1.25% $500,000+: 1.0%
Minimum fee: Greater of $50.00 or calculated tiered fee Fee-only: Fees are charged as percentage of assets under management, no commissions charged.
Main office location
Wasi
25 Evergreen Ave, Suite 6
Mill Valley CA 94941, United States
Number of offices
1
Most active in
Wasi has reported serving >5 clients in these states in the last 12 months.
California · Texas
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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