Hedge Fund Database

TEAM WEALTH & TAX ADVISORS

TEAM FINANCIAL GROUP, LLC Legal Name

Adviser information for TEAM WEALTH & TAX ADVISORS last updated from Form ADV on February 1st, 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 8
Investment Advisory/Research 6
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 6
Licensed Agents of an Insurance Company 6
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 625 $147.2M
Non-Discretionary 0 $0
Total 625 $147.2M

Clients

Type Number RAUM
Individuals 262 $69.8M
HNW Individuals 54 $77.4M
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 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshopsBASIC ESTATE PLANNING
Compensation % of AUMFixed fees
Other Business Activities Insurance broker or agent

Identifiers

SEC RIA File Number 801-127441
SEC ERA File Number 801-127441
SEC CIK Numbers 1845163
SEC CRD Numbers 309411
Legal Entity Identifier None

Principal Office

40395 WINCHESTER ROAD
SUITE A
TEMECULA
CA
United States
Monday - Friday, 9AM-5PM
Tel: 951-308-6444, Fax: 951-308-6441

Websites

www.wealthandtax.com/

Chief Compliance Officer

JEFFRY COLE
CCO
40395 WINCHESTER ROAD
SUITE A
TEMECULA
CA
United States
Tel: 951-308-6444
Fax: 951-308-6441
(Full email address available in API data)

Regulatory Contact

JEFFRY S COLE II
SUITE A
40395 WINCHESTER ROAD
TEMECULA
CA
United States
Tel: 951-308-6444
Fax: 951-308-6441
(Full email address available in API data)

Industry Affiliates

JEFFRY S COLE INC. DBA TEAMTAX Accountant or accounting firm
LEONARD P COLE, CPA Accountant or accounting firm
TEAMTAX PROFESSIONALS INC. Accountant or accounting firm

Private Funds

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

Control Persons

Name Type Entity Title Since Ownership
COLE, JEFFRY, STEPHEN Individual – MANAGING MEMBER 08/2013 50-75%
COLE, LEONARD, PAUL Individual – MANAGING MEMBER 08/2013 50-75%
COLE, JEFFRY, STEPHEN Individual – CHIEF COMPLIANCE OFFICER 01/2024 50-75%

No. Employees, Historic

10502023202420258 on 2/8/20238 on 3/14/20238 on 4/4/20238 on 4/25/20238 on 10/12/20238 on 10/12/20238 on 11/8/20238 on 1/31/20248 on 2/1/2024

RAUM, Historic

200M100M0202320242025102267120 on 2/8/2023102267120 on 3/14/2023102267120 on 4/4/2023102267120 on 4/25/2023133064764 on 10/12/2023133064764 on 10/12/2023133064764 on 11/8/2023147216357 on 1/31/2024147216357 on 2/1/2024

No. Clients, Historic

4002000202320242025342 on 2/8/2023342 on 3/14/2023342 on 4/4/2023342 on 4/25/2023379 on 10/12/2023379 on 10/12/2023379 on 11/8/2023316 on 1/31/2024316 on 2/1/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMAZON COM INC COM Stock 220K 1K –
WISDOMTREE US VALUE FUND OF BENEF INTEREST ETF 7M 96K –
WISDOMTREE U.S. SMALLCAP FUND ETF 268K 6K –
WISDOMTREE FLOATING RATE TREASURY FUND ETF 20M 407K –
COSTCO WHSL CORP NEW COM Stock 293K 344 –
PROCTER AND GAMBLE CO COM Stock 428K 3K –
ISHARES SHORT-TERM NATIONAL MUNI BOND ETF ETF 261K 2K –
WISDOMTREE U.S. MIDCAP FUND ETF 1M 23K –
PACER US CASH COWS 100 ETF ETF 6M 119K –
SCHWAB U.S. LARGE-CAP GROWTH ETF ETF 9M 87K –
WISDOMTREE U.S. HIGH YIELD CORPORATE BOND FUND ETF 487K 11K –
WISDOMTREE U.S. MULTIFACTOR FUND ETF 16M 360K –
FIRST TRUST SMID CAP RISING DIVIDEND ACHIEVERS ETF ETF 2M 58K –
WISDOMTREE U.S. SHORT TERM CORPORATE BOND FUND ETF 223K 5K –
SPDR GOLD MINISHARES TRUST ETF 3M 70K –
PGIM ULTRA SHORT BOND ETF ETF 1M 29K –
SCHWAB SHORT-TERM US TREASURY ETF ETF 399K 8K –
PGIM TOTAL RETURN BOND ETF ETF 9M 225K –
WISDOMTREE U.S. TOTAL DIVIDEND FUND ETF 523K 7K –
PACER US LARGE CAP CASH COWS GROWTH LEADERS ETF ETF 4M 131K –
PGIM SHORT DURATION MULTI-SECTOR BOND ETF ETF 6M 115K –
WISDOMTREE US QUALITY DIVIDEND GROWTH FUND ETF 26M 334K –
WISDOMTREE U.S. LARGECAP DIVIDEND FUND ETF 2M 25K –
WISDOMTREE U.S. MIDCAP DIVIDEND FUND ETF 4M 93K –
WISDOMTREE US SMALLCAP QUALITY DIVIDEND GROWTH FUND ETF 6M 120K –
ISHARES CORE S&P 500 ETF ETF 455K 831 –
WISDOMTREE U.S. LARGECAP FUND ETF 24M 421K –
VANGUARD HIGH DIVIDEND YIELD INDEX ETF ETF 261K 2K –
WISDOMTREE ENHANCED COMMODITY STGY FD ETF 2M 107K –
VANGUARD SHORT-TERM BOND ETF ETF 1M 14K –
UNITEDHEALTH GROUP INC COM Stock 278K 547 –
WISDOMTREE YIELD ENHANCED U.S. AGGREGATE BOND FUND ETF 287K 7K –
APPLE INC COM Stock 736K 3K –