AUSPICIOUS FINANCIAL PLANNING, LLC
Adviser information for AUSPICIOUS FINANCIAL PLANNING, LLC last updated from Form ADV on March 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 600 | $235.1M |
| Non-Discretionary | 0 | $0 |
| Total | 600 | $235.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 300 | $100.0M |
| HNW Individuals | 300 | $135.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 235.1M |
| Portfolio Manager | 235.1M |
| Both for Same | 235.1M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| AUSPICIOUS FINANCIAL PLANNING FIDUCIARY WRAP ACCOUNT PROGRAM | AUSPICIOUS FINANCIAL PLANNING, LLC |
Identifiers
| SEC RIA File Number | 801-113980 |
|---|---|
| SEC ERA File Number | 801-113980 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297962 |
| Legal Entity Identifier | None |
Principal Office
2603 CAMINO RAMONSUITE 200
SAN RAMON
CA
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 925-355-1200, Fax: None
Websites
Chief Compliance Officer
LOUIS DAGEN
PRESIDENT
4117 LILAC RUDGE ROAD
SAN RAMON
CA
United States
Tel:
925-355-1200
L**@**********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DAGEN, LOUIS, ISAAC | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2018 | < 5% |
| DAGEN, LOUIS, ISAAC | Individual | THE LOUIS I. DAGEN AND GRACE W. CHEN REVOCABLE TRUST | TRUSTEE | 10/2007 | 50-75% |
| CHEN, GRACE, WUN | Individual | THE LOUIS I. DAGEN AND GRACE W. CHEN REVOCABLE TRUST | TRUSTEE | 10/2007 | 50-75% |
| THE LOUIS I. DAGEN AND GRACE W. CHEN REVOCABLE TRUST | Domestic Entity | – | MANAGING MEMBER | 06/2018 | > 75% |