CALIFORNIA FINANCIAL ADVISORS
MALOON, POWERS, PITRE & HIGGINS, LLC Legal Name
Adviser information for CALIFORNIA FINANCIAL ADVISORS last updated from Form ADV on March 20th, 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 | 11 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,238 | $1.5B |
| Non-Discretionary | 252 | $276.9M |
| Total | 1,490 | $1.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,446 | $1.5B |
| HNW Individuals | 35 | $276.6M |
| 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 | <5 | $445,551 |
| 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 | 7 | $3.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1490 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 1500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesCONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-55273 |
|---|---|
| SEC ERA File Number | 801-55273 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110152 |
| Legal Entity Identifier | None |
Principal Office
2303 CAMINO RAMONSUITE 250
SAN RAMON
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 925.275.1000, Fax: 925.275.9109
Chief Compliance Officer
THOMAS J. POWERS
MEMBER
2303 CAMINO RAMON
SUITE 250
SAN RAMON
CA
United States
Tel:
925-275-1000
Fax:
925-275-9109
T******@***********M
(Full email address available in API data)
Regulatory Contact
CARRIE HUME
OFFICE MANAGER
2303 CAMINO RAMON
SUITE 250
SAN RAMON
CA
United States
Tel:
925.275.1000
Fax:
925.275.9109
C****@***********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 |
|---|---|---|---|---|---|
| HIGGINS, MICHELLE, PERRY | Individual | – | MEMBER | 01/2000 | 10-25% |
| MALOON, MICHAEL, FRANCIS | Individual | – | MEMBER | 01/1998 | 10-25% |
| PITRE, MARK, ANTHONY | Individual | – | MEMBER | 01/1998 | 10-25% |
| POWERS, THOMAS, JAMES | Individual | – | MEMBER/CHIEF COMPLIANCE OFFICER | 01/1998 | 10-25% |
| DENNEHY, RYAN, DOUGLAS | Individual | – | MEMBER | 03/2022 | 10-25% |