OSTROFE FINANCIAL CONSULTANTS INC
Adviser information for OSTROFE FINANCIAL CONSULTANTS INC last updated from Form ADV on February 9th, 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 | 10 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| 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 | 1,431 | $261.7M |
| Non-Discretionary | 0 | $0 |
| Total | 1,431 | $261.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 340 | $81.3M |
| HNW Individuals | 130 | $166.4M |
| 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 | 10 | $14.1M |
| 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 businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-34048 |
|---|---|
| SEC ERA File Number | 801-34048 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110064 |
| Legal Entity Identifier | None |
Principal Office
420 SIERRA COLLEGE DRIVESUITE 200
GRASS VALLEY
CA
United States
Monday - Friday, 8:00AM-5:00PM
Tel: 530-273-4425, Fax: 530-273-4891
Websites
Chief Compliance Officer
PATTY LUM
OFFICE MANAGER
420 SIERRA COLLEGE DR STE 200
SUITE 200
GRASS VALLEY
CA
United States
Tel:
530-273-4425
Fax:
530-273-4891
P********@******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 |
|---|---|---|---|---|---|
| LEISHMAN, SETH, TYLER | Individual | – | PRESIDENT | 07/2018 | > 75% |
| LUM, PATRICIA, ANNE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2000 | < 5% |