FINANCIAL DESIGNS CORPORATION
Adviser information for FINANCIAL DESIGNS CORPORATION last updated from Form ADV on February 16th, 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 | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 1,029 | $281.8M |
| Non-Discretionary | 305 | $114.2M |
| Total | 1,334 | $396.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 418 | $194.5M |
| HNW Individuals | 125 | $201.5M |
| 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 | 1 | $1,123 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 10 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 509 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesASSET ALLOCATION |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 281.8M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| FINANCIAL DESIGNS WRAP FEE PROGRAM | FINANCIAL DESIGNS CORPORATION |
Principal Office
540 W. BASELINE RD#10
CLAREMONT
CA
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 909-626-1642, Fax: 909-626-1529
Chief Compliance Officer
GREG MORTON
SECRETARY, CFO
540 W. BASELINE RD
#10
CLAREMONT
CA
United States
Tel:
909-626-1642
Fax:
909-626-1529
G***@**************M
(Full email address available in API data)
Regulatory Contact
NINO PAVAN
PRESIDENT
540 W. BASELINE RD
#10
CLAREMONT
CA
United States
Tel:
909-626-1642
Fax:
909-626-1529
N***@**************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 |
|---|---|---|---|---|---|
| PAVAN, NINO, GABRIEL | Individual | – | PRESIDENT | 01/1996 | < 5% |
| MORTON, GREG, ALAN | Individual | – | CHIEF COMPLIANCE OFFICER/DIRECTOR OF FINANCE | 10/2012 | < 5% |
| FDC HOLDINGS CORPORATION | Domestic Entity | – | SHAREHOLDER | 01/2017 | > 75% |
| THE 2008 PAVAN FAMILY TRUST | Domestic Entity | FDC HOLDINGS CORPORATION | SHAREHOLDER | 01/2017 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 15th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AMPLIFY ETF TR | CWP ENHANCED DIV | 11M | 296K | – |
| BLACKROCK ETF TRUST II | ISHARES LARG CAP | 9M | 323K | – |
| ETFS GOLD TR | PHYSCL GOLD SHS | 275K | 12K | – |
| FIDELITY WISE ORIGIN BITCOIN | SHS | 641K | 12K | – |
| INNOVATOR ETFS TRUST | DEFINED WLT SHLD | 6M | 184K | – |
| INNOVATOR ETFS TRUST | QUITY MANAGD FLR | 3M | 82K | – |
| INVESCO EXCH TRD SLF IDX FD | RUSL 1000 DYNM | 12M | 234K | – |
| INVESCO EXCHANGE TRADED FD T | S&P 500 GARP ETF | 6M | 63K | – |
| ISHARES SILVER TR | ISHARES | 299K | 11K | – |
| ISHARES TR | CORE MSCI TOTAL | 11M | 157K | – |
| ISHARES TR | CORE S&P TTL STK | 35M | 297K | – |
| ISHARES TR | CORE US AGGBD ET | 23M | 238K | – |
| LILIUM N V | CLASS A ORD SHS | 32K | 41K | – |
| PACER FDS TR | LUNT LRGCP MULTI | 5M | 97K | – |
| POWERSHARES ACTIVELY MANAGED | TOTAL RETURN | 7M | 151K | – |
| SCHWAB STRATEGIC TR | US AGGREGATE B | 2M | 52K | – |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 3M | 47K | – |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 3M | 41K | – |
| VICTORY PORTFOLIOS II | SHARES FREE CASH | 8M | 246K | – |