DEFINED FINANCIAL PLANNING LLC
Adviser information for DEFINED FINANCIAL PLANNING LLC last updated from Form ADV on January 19th, 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 | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 287 | $101.6M |
| Non-Discretionary | 4 | $1.7M |
| Total | 291 | $103.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 76 | $22.8M |
| HNW Individuals | 20 | $59.9M |
| 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 | <5 | $1.7M |
| Charitable organizations | <5 | $18.9M |
| 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 | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-126370 |
|---|---|
| SEC ERA File Number | 801-126370 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310137 |
| Legal Entity Identifier | None |
Principal Office
2413 WEBB AVENUESUITE B
ALAMEDA
CA
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 510-200-8655, Fax: N/A
Chief Compliance Officer
SAMUEL GAETA
CEO & INVESTMENT ADVISER REPRESENTATIVE
2413 WEBB AVENUE
SUITE B
ALAMEDA
CA
United States
Tel:
(510) 200-8655
Fax:
N/A
S**@******************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 |
|---|---|---|---|---|---|
| Gaeta, Samuel, Vasquez | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 10/2020 | > 75% |
| SMITH, MICHAEL, GREGORY | Individual | – | DIRECTOR OF TAX PLANNING | 07/2022 | < 5% |
| COOPER, MARTEL, JED | Individual | – | DIRECTOR OF INVESTMENTS | 07/2022 | < 5% |
| Vasquez, Richard, Anthony | Individual | – | PARTNER | 07/2022 | 25-50% |