HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC.
Adviser information for HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC. last updated from Form ADV on March 5th, 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 | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 2 |
| 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 | 5 | $1.3M |
| Non-Discretionary | 43 | $23.8M |
| Total | 48 | $25.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 40 | $13.8M |
| HNW Individuals | <5 | $11.4M |
| 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 | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-125720 |
|---|---|
| SEC ERA File Number | 801-125720 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 134563 |
| Legal Entity Identifier | None |
Principal Office
121 N. FIR STREET, SUITE DVENTURA
CA
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 805-648-5300, Fax: (805) 628-9541
Websites
Chief Compliance Officer
JASON D. GRIFFITH
WEALTH ADVISOR
121 N. FIR STREET, SUITE D
VENTURA
CA
United States
Tel:
805-648-5300
Fax:
(805) 648-5369
J****@************M
(Full email address available in API data)
Regulatory Contact
CONNIE LOU ORNELAS
CHIEF FINANCIAL OFFICER
121 N. FIR STREET, SUITE D
VENTURA
CA
United States
Tel:
805-648-5300
Fax:
805-648-5329
C**@************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 |
|---|---|---|---|---|---|
| HOFFMAN, ROSS, FLOYD | Individual | – | PRESIDENT/CEO | 07/1996 | > 75% |
| ORNELAS, CONNIE, LOU | Individual | – | CFO | 07/1996 | < 5% |
| GRIFFITH, JASON, DANIEL | Individual | – | CHIEF COMPLIANCE OFFICER & WEALTH ADVISOR | 01/2013 | < 5% |