Hedge Fund Database

FINANCIAL MANAGEMENT NETWORK INC

Adviser information for FINANCIAL MANAGEMENT NETWORK INC 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 Corporation
Fiscal Year End SEPTEMBER
Legal Location California, United States

Employees

Total Number of Employees 48
Investment Advisory/Research 21
Registered Broker-Dealer Representatives 21
Registered State Investment Advisers 18
Licensed Agents of an Insurance Company 25
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,949 $1.1B
Non-Discretionary 123 $347.4M
Total 4,072 $1.5B

Clients

Type Number RAUM
Individuals 816 $291.9M
HNW Individuals 340 $791.3M
Banking or thrift institutions <5 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 136 $375.3M
Charitable organizations <5 $0
State or municipal gov entities <5 $0
Other investment advisers <5 $0
Insurance companies 7 $10.7M
Sovereign wealth funds and foreign official institutions <5 $0
Corporations or other businesses 13 $9.1M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 26-50

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services
Compensation % of AUMHourly chargesFixed feesQUARTERLY FEES
Other Business Activities Insurance broker or agent

Identifiers

SEC RIA File Number 801-40473
SEC ERA File Number 801-40473
SEC CIK Numbers 1844831
SEC CRD Numbers 110454
Legal Entity Identifier None

Principal Office

26041 ACERO
MISSION VIEJO
CA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 949-455-0300, Fax: 949-716-7413

Websites

www.fmnbenefits.com/ www.linkedin.com/company/135759/ www.fmnbenefits.com www.californiabusinessbenefits.com/ www.fmncc.com www.facebook.com/financial-management-network-886278244778751 www.wbtplan.com/ www.piplan.org/

Chief Compliance Officer

JEFFREY MERWIN
CCO
26041 ACERO
MISSION VIEJO
CA
United States
Tel: (949) 455-0300
Fax: (949) 716-7413
(Full email address available in API data)

Regulatory Contact

MATTHEW MERWIN
CEO
26041 ACERO
MISSION VIEJO
CA
United States
Tel: 949455-0300
(Full email address available in API data)

Industry Affiliates

FMN CAPITAL CORPORATION Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency

Private Funds

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

Control Persons

Name Type Entity Title Since Ownership
MERWIN, MATTHEW, SCOTT Individual – MANAGING PARTNER / ADVISORY BOARD MEMBER 12/2021 < 5%
MERWIN FAMILY TRUST DATED APRIL 5, 2001 Domestic Entity – TRUST 12/2021 10-25%
FMN ESOP UTD 09/22/2006 Domestic Entity – TRUST 03/2008 10-25%
MERWIN, JEFFREY, GEORGE Individual – MANAGING PARTNER/TTEE"/CHIEF COMPLIANCE OFFICER 12/2021 < 5%
JEFFREY G MERWIN IRREVOCABLE TRUST, DATED DECEMBER 29, 2021 Domestic Entity – TRUST 12/2021 25-50%
MATTHEW M. MERWIN IRREVOCABLE TRUST DATED DECEMBER 28, 2021 Domestic Entity – TRUST 12/2021 25-50%
JOHN J MERWIN IRREVOCABLE TRUST, DATED DECEMBER 28, 2021 Domestic Entity – TRUST 12/2021 < 5%
MERWIN, MATTHEW, MICHAEL Individual – MANAGING PARTNER/TRUSTEE 12/2021 < 5%
MERWIN, JOHN, J Individual – TRUSTEE 12/2021 < 5%
MERWIN, KATHY, JANE Individual MERWIN FAMILY TRUST DATED APRIL 5, 2001 TRUSTEE 04/2001 50-75%

No. Employees, Historic

50250201920202021202220232024202520 on 5/12/201949 on 12/24/201949 on 12/24/201949 on 6/9/202049 on 6/16/202049 on 6/29/202045 on 1/4/202143 on 12/23/202143 on 1/3/202243 on 1/9/202243 on 8/11/202247 on 12/21/202247 on 10/13/202347 on 10/18/202347 on 10/23/202348 on 12/22/202348 on 3/26/2024

RAUM, Historic

2B1B02019202020212022202320242025695828012 on 5/12/2019986526026 on 12/24/2019986526026 on 12/24/2019986526026 on 6/9/2020986526026 on 6/16/2020986526026 on 6/29/20201203643071 on 1/4/20211512005041 on 12/23/20211512005041 on 1/3/20221512005041 on 1/9/20221512005041 on 8/11/20221326835171 on 12/21/20221326835171 on 10/13/20231326835171 on 10/18/20231326835171 on 10/23/20231478373298 on 12/22/20231478373298 on 3/26/2024

No. Clients, Historic

10,0005,00002019202020212022202320242025864 on 5/12/20191205 on 12/24/20191205 on 12/24/20191205 on 6/9/20201205 on 6/16/20201205 on 6/29/20201162 on 1/4/20219350 on 12/23/20219350 on 1/3/20229350 on 1/9/20229350 on 8/11/20221346 on 12/21/20221346 on 10/13/20231346 on 10/18/20231346 on 10/23/20231312 on 12/22/20231312 on 3/26/2024

Holdings

From latest 13F, filed July 22nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 237K 2K –
ABBVIE INC COM 400K 2K –
ADOBE INC COM 2M 3K –
EA SERIES TRUST STRIVE SML CAP 3M 114K –
EA SERIES TRUST STRIVE 500 ETF 2M 56K –
EA SERIES TRUST STRIVE EMERGING 2M 70K –
EA SERIES TRUST STRIVE US ENERGY 2M 68K –
ALPHABET INC CAP STK CL C 3M 18K –
ALPHABET INC CAP STK CL A 3M 18K –
AMAZON COM INC COM 5M 27K –
AMERICAN CENTY ETF TR AVANTIS US MID C 1M 19K –
AMERICAN CENTY ETF TR US LARGE CAP VLU 3M 43K –
AMERICAN CENTY ETF TR INTL SMCP VLU 14M 218K –
AMERICAN CENTY ETF TR US SML CP VALU 9M 100K –
AMERICAN EXPRESS CO COM 745K 3K –
AMGEN INC COM 702K 2K –
APOLLO GLOBAL MGMT INC COM 683K 6K –
APPLE INC COM 14M 62K –
BANK AMERICA CORP COM 576K 14K –
BERKSHIRE HATHAWAY INC DEL CL A 2M 4 –
BLACKROCK ETF TRUST II FLEXIBLE INCOME 7M 128K –
BOEING CO COM 1M 8K –
BROADCOM INC COM 612K 360 –
CAPITAL GROUP INTL FOCUS EQT SHS CREATION UNI 11M 406K –
CAPITAL GROUP GROWTH ETF SHS CREATION UNI 544K 16K –
CAPITAL GROUP GBL GROWTH EQT SHS CREATION UNI 5M 163K –
CAPITAL GRP FIXED INCM ETF T CORE PLUS INCM 891K 40K –
CAPITAL GRP FIXED INCM ETF T SHORT DURATION 2M 83K –
CATERPILLAR INC COM 964K 3K –
CHEVRON CORP NEW COM 2M 12K –
CONOCOPHILLIPS COM 253K 2K –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 250K 8K –
DISNEY WALT CO COM 473K 5K –
EDWARDS LIFESCIENCES CORP COM 780K 8K –
EXXON MOBIL CORP COM 946K 8K –
META PLATFORMS INC CL A 1M 2K –
FIDELITY COVINGTON TRUST FIDELITY FUND LR 5M 201K –
FIDELITY COVINGTON TRUST INTL MULTIFACTOR 511K 19K –
FIDELITY COVINGTON TRUST MSCI UTILS INDEX 1M 26K –
FORD MTR CO DEL COM 132K 10K –
FRANKLIN BSP RLTY TR INC COMMON STOCK 2M 158K –
GALLAGHER ARTHUR J & CO COM 2M 7K –
GOLDMAN SACHS GROUP INC COM 322K 693 –
GOLDMAN SACHS ETF TR S&P 500 CORE PRE 264K 6K –
HARBOR ETF TRUST LONG TERM GROWER 3M 130K –
HARBOR ETF TRUST INTERNATNAL COMP 1M 51K –
HOME DEPOT INC COM 2M 5K –
HONEYWELL INTL INC COM 1M 5K –
INTEL CORP COM 285K 9K –
INTERNATIONAL BUSINESS MACHS COM 368K 2K –
INVESCO QQQ TR UNIT SER 1 3M 6K –
INTUITIVE SURGICAL INC COM NEW 486K 1K –
ISHARES GOLD TR ISHARES NEW 3M 67K –
ISHARES TR CORE S&P TTL STK 391K 3K –
ISHARES TR CORE S&P500 ETF 40M 72K –
ISHARES TR GLOBAL TECH ETF 223K 3K –
ISHARES TR S&P 500 GRWT ETF 7M 75K –
ISHARES TR RUS MDCP VAL ETF 642K 5K –
ISHARES TR CORE S&P MCP ETF 15M 261K –
ISHARES TR RUS 1000 GRW ETF 1M 4K –
ISHARES TR RUS 2000 VAL ETF 387K 3K –
ISHARES TR RUSSELL 2000 ETF 486K 2K –
ISHARES TR CORE S&P US GWT 301K 2K –
ISHARES TR CORE S&P SCP ETF 11M 101K –
ISHARES TR S&P SML 600 GWT 946K 7K –
ISHARES TR 3 7 YR TREAS BD 965K 8K –
ISHARES TR SHORT TREAS BD 10M 88K –
ISHARES TR US TREAS BD ETF 2M 91K –
ISHARES TR MSCI USA MIN VOL 532K 6K –
ISHARES U S ETF TR BLACKROCK SH DUR 7M 132K –
ISHARES TR 0-5YR HI YL CP 725K 17K –
ISHARES TR GLOBAL REIT ETF 275K 12K –
ISHARES TR ESG AWR MSCI USA 303K 2K –
ISHARES TR ESG AWR US AGRGT 345K 7K –
JPMORGAN CHASE & CO. COM 1M 7K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 2M 40K –
JOHNSON & JOHNSON COM 445K 3K –
KKR & CO INC COM 1M 11K –
ELI LILLY & CO COM 1M 2K –
LOCKHEED MARTIN CORP COM 276K 596 –
M & T BK CORP COM 623K 4K –
MACERICH CO COM 429K 29K –
MASTERCARD INCORPORATED CL A 960K 2K –
MCDONALDS CORP COM 1M 4K –
MICROSOFT CORP COM 8M 16K –
MOBIX LABS INC COM CL A 86K 52K –
NETFLIX INC COM 249K 360 –
NOVO-NORDISK A S ADR 381K 3K –
NVIDIA CORPORATION COM 8M 63K –
OCCIDENTAL PETE CORP COM 400K 6K –
OPENDOOR TECHNOLOGIES INC COM 24K 13K –
PACER FDS TR TRENDPILOT 100 2M 30K –
PACER FDS TR GLOBL CASH ETF 15M 434K –
PACER FDS TR PACER US SMALL 14M 329K –
PACER FDS TR EMRG MKT CASH 343K 17K –
PACER FDS TR US CASH COWS 100 6M 111K –
PALO ALTO NETWORKS INC COM 890K 3K –
PARKER-HANNIFIN CORP COM 235K 464 –
PEPSICO INC COM 446K 3K –
PHILLIPS 66 COM 307K 2K –
PRICE T ROWE GROUP INC COM 288K 3K –
QUALCOMM INC COM 523K 3K –
RWT HLDGS INC NOTE 5.750%10/0 485K 500K –
REALTY INCOME CORP COM 548K 10K –
ROCKET LAB USA INC COM 93K 19K –
ROCKWELL AUTOMATION INC COM 711K 3K –
SPDR S&P 500 ETF TR TR UNIT 666K 1K –
SPDR GOLD TR GOLD SHS 2M 7K –
SPDR INDEX SHS FDS S&P INTL SMLCP 200K 6K –
SPDR SER TR PRTFLO S&P500 GW 464K 6K –
SPDR SER TR S&P DIVID ETF 1M 8K –
SPDR SER TR PORTFOLIO S&P400 850K 17K –
SPDR SER TR PORTFOLIO S&P500 1M 16K –
SPDR SER TR PORTFOLIO S&P600 613K 15K –
SCHWAB STRATEGIC TR US LRG CAP ETF 523K 8K –
SCHWAB STRATEGIC TR US MID-CAP ETF 200K 3K –
SCHWAB STRATEGIC TR US SML CAP ETF 223K 5K –
SELECT SECTOR SPDR TR ENERGY 520K 6K –
SELECT SECTOR SPDR TR INDL 303K 2K –
SELECT SECTOR SPDR TR TECHNOLOGY 219K 941 –
SIMON PPTY GROUP INC NEW COM 2M 16K –
TESLA INC COM 2M 9K –
THORNBURG INCM BUILDER OPP T COM 794K 48K –
TRUIST FINL CORP COM 696K 18K –
UBER TECHNOLOGIES INC COM 221K 3K –
UNION PAC CORP COM 272K 1K –
UNITED RENTALS INC COM 412K 650 –
UNITEDHEALTH GROUP INC COM 232K 476 –
VANECK ETF TRUST BDC INCOME ETF 2M 143K –
VANECK ETF TRUST MRNGSTR WDE MOAT 41M 472K –
VANECK ETF TRUST DURABLE HGH DIV 2M 71K –
VANECK ETF TRUST MORNINGSTAR SMID 16M 508K –
VANECK ETF TRUST CLO ETF 2M 47K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 3M 18K –
VANGUARD WORLD FD MEGA GRWTH IND 771K 2K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 644K 13K –
VANGUARD CALIF TAX FREE FDS TAX EXEMPT BD FD 1M 11K –
VANGUARD WORLD FD ENERGY ETF 1M 10K –
VANGUARD WORLD FD HEALTH CAR ETF 9M 33K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 10M 120K –
VANGUARD INDEX FDS S&P 500 ETF SHS 740K 1K –
VANGUARD INDEX FDS REAL ESTATE ETF 2M 27K –
VANGUARD INDEX FDS GROWTH ETF 448K 1K –
VANGUARD INDEX FDS TOTAL STK MKT 1M 4K –
VERIZON COMMUNICATIONS INC COM 237K 6K –
VISA INC COM CL A 5M 20K –
WELLS FARGO CO NEW COM 213K 4K –
WISDOMTREE TR US MIDCAP DIVID 1M 29K –
YUM BRANDS INC COM 304K 2K –