ESG PLANNING
Adviser information for ESG PLANNING last updated from Form ADV on February 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 885 | $101.4M |
| Non-Discretionary | 0 | $0 |
| Total | 885 | $101.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 325 | $42.5M |
| HNW Individuals | 31 | $58.9M |
| 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 | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
Principal Office
2005 DE LA CRUZ BLVD #120SANTA CLARA
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 408-644-8828, Fax: N/A
Chief Compliance Officer
JAMES RUKSTALIS
PRESIDENT & CHIEF COMPLIANCE OFFICER
2005 DE LA CRUZ BLVD #120
SANTA CLARA
CA
United States
Tel:
(408) 644-8828
J****@**************M
(Full email address available in API data)
Regulatory Contact
ARSLAN BAHLER
SENIOR INVESTMENT OFFICER
2005 DE LA CRUZ BLVD #120
2625
SANTA CLARA
CA
United States
Tel:
(408) 644-8828
A*****@**************M
(Full email address available in API data)
Industry Affiliates
| JR FINANCIAL | Insurance company or agencyReal estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Rukstalis, James, Robert | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 05/2020 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ALPHABET INC | CAP STK CL A | 3M | 17K | – |
| AMAZON COM INC | COM | 4M | 19K | – |
| APPLE INC | COM | 4M | 18K | – |
| APPLIED MATLS INC | COM | 329K | 1K | – |
| BANK MONTREAL MEDIUM | MICROSECTORS FAN | 2M | 4K | – |
| CROWDSTRIKE HLDGS INC | CL A | 1M | 3K | – |
| DANAHER CORPORATION | COM | 459K | 2K | – |
| DIMENSIONAL ETF TRUST | US SMALL CAP ETF | 3M | 49K | – |
| EQUINIX INC | COM | 1M | 1K | – |
| HONEYWELL INTL INC | COM | 494K | 2K | – |
| ISHARES TR | CORE S&P500 ETF | 213K | 389 | – |
| ISHARES TR | 0-3 MNTH TREASRY | 4M | 36K | – |
| ISHARES TR | 20 YR TR BD ETF | 1M | 15K | – |
| ISHARES TR | NATIONAL MUN ETF | 16M | 154K | – |
| ISHARES TR | EXPANDED TECH | 493K | 6K | – |
| LOWES COS INC | COM | 415K | 2K | – |
| MASTERCARD INCORPORATED | CL A | 861K | 2K | – |
| MERCK & CO INC | COM | 2M | 20K | – |
| META PLATFORMS INC | CL A | 1M | 2K | – |
| MICROSOFT CORP | COM | 1M | 2K | – |
| NETFLIX INC | COM | 337K | 500 | – |
| NVIDIA CORPORATION | COM | 6M | 52K | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 1M | 15K | – |
| SELECT SECTOR SPDR TR | RL EST SEL SEC | 2M | 51K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 1M | 5K | – |
| SPDR GOLD TR | GOLD SHS | 1M | 7K | – |
| SPDR INDEX SHS FDS | S&P EM MKT DIV | 1M | 29K | – |
| SPDR SER TR | BLOOMBERG HIGH Y | 7M | 76K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 395K | 714 | – |
| UNION PAC CORP | COM | 439K | 2K | – |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 9M | 128K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 2M | 6K | – |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 3M | 50K | – |
| VANGUARD WORLD FD | INDUSTRIAL ETF | 2M | 10K | – |
| VANGUARD WORLD FD | FINANCIALS ETF | 2M | 20K | – |
| VANGUARD WORLD FD | MATERIALS ETF | 449K | 2K | – |
| VANGUARD WORLD FD | CONSUM STP ETF | 2M | 10K | – |
| VANGUARD WORLD FD | INF TECH ETF | 5M | 9K | – |
| VANGUARD WORLD FD | COMM SRVC ETF | 1M | 7K | – |
| VANGUARD WORLD FD | CONSUM DIS ETF | 3M | 11K | – |
| VANGUARD WORLD FD | HEALTH CAR ETF | 2M | 8K | – |
| VISA INC | COM CL A | 895K | 3K | – |