WAGNER PLANNING
WAGNER FINANCIAL, LLC Legal Name
Adviser information for WAGNER PLANNING last updated from Form ADV on March 26th, 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 | Oregon, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| 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 | 381 | $114.5M |
| Non-Discretionary | 0 | $0 |
| Total | 381 | $114.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 134 | $41.5M |
| HNW Individuals | 62 | $73.1M |
| 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 | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-124939 |
|---|---|
| SEC ERA File Number | 801-124939 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 318448 |
| Legal Entity Identifier | None |
Principal Office
5285 MEADOWS ROADSUITE 310
LAKE OSWEGO
OR
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 503-342-0038, Fax: 503-210-0311
Chief Compliance Officer
SANDRA WAGNER
PRINCIPAL
5285 MEADOWS RD
SUITE 310
LAKE OSWEGO
OR
United States
Tel:
503-342-0038
S*****@*****************M
(Full email address available in API data)
Regulatory Contact
JOHN T. CARR
COMPLIANCE COUNSEL (EXTERNAL)
6650 SW REDWOOD LANE
SUITE 220
PORTLAND
OR
United States
Tel:
503-635-5244
J****@******************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 |
|---|---|---|---|---|---|
| SANDRA J. WAGNER TRUST U/A/D 6/22/2011 | Domestic Entity | – | MEMBER | 07/2011 | > 75% |
| WAGNER, SANDRA, J. | Individual | SANDRA J. WAGNER TRUST U/A/D 6/22/2011 | TRUSTEE | 06/2011 | |
| WAGNER, SANDRA, J. | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2022 | < 5% |