Hedge Fund Database

FINDEC WEALTH SERVICES, INC.

Adviser information for FINDEC WEALTH SERVICES, INC. last updated from Form ADV on February 27th, 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 Corporation
Fiscal Year End DECEMBER
Legal Location California, United States

Employees

Total Number of Employees 4
Investment Advisory/Research 2
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 2
Licensed Agents of an Insurance Company 2
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,381 $963.9M
Non-Discretionary 0 $0
Total 1,381 $963.9M

Clients

Type Number RAUM
Individuals 400 $79.5M
HNW Individuals 70 $119.0M
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 351 $737.0M
Charitable organizations 8 $6.9M
State or municipal gov entities 10 $12.5M
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 6 $9.0M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-120139
SEC ERA File Number 801-120139
SEC CIK Numbers 1916066
SEC CRD Numbers 311949
Legal Entity Identifier None

Principal Office

3555 DEER PARK DRIVE
SUITE 160
STOCKTON
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 209-957-7413, Fax: 209-957-1516

Websites

findec.com/ www.facebook.com/_findec instagram.com/_findec linkedin.com/company/18605066/admin/

Chief Compliance Officer

KENNETH R. HEROLD
3555 DEER PARK DRIVE
SUITE 160
STOCKTON
CA
United States
Tel: 209-957-7413
(Full email address available in API data)

Regulatory Contact

TOLEN TEIGEN
CHIEF INVESTMENT OFFICER
3555 DEER PARK DRIVE
SUITE 160
STOCKTON
CA
United States
Tel: 209-957-7413
(Full email address available in API data)

Industry Affiliates

FINDEC BENEFIT SERVICES, INC. Pension consultant
WESTERN ASSOCIATES. INC. D/B/A FINDEC INSURANCE SERVICES Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
FINDEC CO. Domestic Entity – PARENT COMPANY 10/2020 > 75%
TEIGEN, TOLEN, CLEMENT Individual – CHIEF INVESTMENT OFFICER 10/2020 < 5%
HEROLD, KENNETH, ROBERT Individual – CHIEF COMPLIANCE OFFICER 10/2020 < 5%
LEE, MICHAEL, E Individual – PRESIDENT & CHIEF EXECUTIVE OFFICER 10/2020 < 5%
LEE, MICHAEL, E Individual FINDEC CO. PRESIDENT & CHIEF EXECUTIVE OFFICER 10/2020 50-75%
MAHONEY, KEVIN, EUGENE Individual FINDEC CO. SHAREHOLDER 10/2020 25-50%

No. Employees, Historic

10502020202120222023202420258 on 12/11/20208 on 4/23/20218 on 6/15/20218 on 2/10/202210 on 3/7/202210 on 5/12/202210 on 9/9/202210 on 11/29/202210 on 12/22/202210 on 2/8/20234 on 3/16/20234 on 11/8/20234 on 2/27/2024

RAUM, Historic

1B500M02020202120222023202420250 on 12/11/2020791128672 on 4/23/2021791128672 on 6/15/2021791128672 on 2/10/2022864012538 on 3/7/2022864012538 on 5/12/2022864012538 on 9/9/2022864012538 on 11/29/2022864012538 on 12/22/2022864012538 on 2/8/2023780025545 on 3/16/2023780025545 on 11/8/2023963900000 on 2/27/2024

No. Clients, Historic

1,00050002020202120222023202420250 on 12/11/2020665 on 4/23/2021665 on 6/15/2021665 on 2/10/2022733 on 3/7/2022733 on 5/12/2022733 on 9/9/2022733 on 11/29/2022733 on 12/22/2022733 on 2/8/2023949 on 3/16/2023949 on 11/8/2023845 on 2/27/2024

Holdings

From latest 13F, filed July 17th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMAZON COM INC COM 653K 3K –
APPLE INC COM 5M 25K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 215K 528 –
CAPITAL GROUP CORE EQUITY ET SHS CREATION UNI 7M 227K –
CAPITAL GROUP DIVIDEND VALUE SHS CREATION UNI 13M 402K –
CAPITAL GROUP GBL GROWTH EQT SHS CREATION UNI 8M 265K –
CAPITAL GROUP GROWTH ETF SHS CREATION UNI 4M 137K –
CAPITAL GRP FIXED INCM ETF T CORE PLUS INCM 18M 814K –
CARDIFF ONCOLOGY INC COM 36K 16K –
DIMENSIONAL ETF TRUST CORE FIXED INCOM 9M 209K –
DIMENSIONAL ETF TRUST SHORT DURATION F 8M 173K –
DIMENSIONAL ETF TRUST INTERNATNAL VAL 6M 173K –
DIMENSIONAL ETF TRUST INTL CORE EQT MK 3M 114K –
DIMENSIONAL ETF TRUST US TARGETED VLU 6M 108K –
DIMENSIONAL ETF TRUST US CORE EQT MKT 12M 327K –
DIMENSIONAL ETF TRUST US LARGE CAP VAL 9M 318K –
DIMENSIONAL ETF TRUST US SMALL CAP ETF 3M 52K –
DIMENSIONAL ETF TRUST EMGR CRE EQT MNG 6M 234K –
ELI LILLY & CO COM 388K 429 –
GLOBAL X FDS S&P 500 CATHOLIC 252K 4K –
INVESCO EXCH TRADED FD TR II S&P INTL MOMNT 2M 58K –
ISHARES BITCOIN TR SHS 559K 16K –
ISHARES TR U.S. MED DVC ETF 3M 51K –
ISHARES TR 0-5YR HI YL CP 3M 67K –
JPMORGAN CHASE & CO. COM 257K 1K –
META PLATFORMS INC CL A 2M 4K –
MICROSOFT CORP COM 2M 3K –
NVIDIA CORPORATION COM 3M 25K –
PEPSICO INC COM 774K 5K –
PUBLIC STORAGE OPER CO COM 210K 729 –
SCHWAB STRATEGIC TR US MID-CAP ETF 267K 3K –
SCHWAB STRATEGIC TR US LCAP VA ETF 551K 7K –
SCHWAB STRATEGIC TR US SML CAP ETF 851K 18K –
SCHWAB STRATEGIC TR US LCAP GR ETF 5M 52K –
SCHWAB STRATEGIC TR INTL EQTY ETF 3M 73K –
SCHWAB STRATEGIC TR EMRG MKTEQ ETF 2M 57K –
SCHWAB STRATEGIC TR US LRG CAP ETF 2M 32K –
TESLA INC COM 202K 1K –
VANGUARD INDEX FDS S&P 500 ETF SHS 1M 3K –
VANGUARD INDEX FDS MID CAP ETF 5M 19K –
VANGUARD INDEX FDS SMALL CP ETF 2M 9K –