ADVANCED FINANCIAL STRATEGIES INC
Adviser information for ADVANCED FINANCIAL STRATEGIES INC last updated from Form ADV on March 28th, 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 | 4 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 402 | $228.7M |
| Non-Discretionary | 8 | $856,984 |
| Total | 410 | $229.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 52 | $8.4M |
| HNW Individuals | 89 | $219.3M |
| 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 | 5 | $1.8M |
| 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 | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)BUSINESS PLANNING SERVICES, ESTATE PLANNING SERVICES |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-57835 |
|---|---|
| SEC ERA File Number | 801-57835 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108296 |
| Legal Entity Identifier | None |
Principal Office
5 HUBBLEIRVINE
CA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 949-502-5333, Fax: 949-502-6686
Websites
Chief Compliance Officer
PIERRE N. NGO
PRESIDENT
5 HUBBLE
IRVINE
CA
United States
Tel:
949-502-5333 EXT. 414
Fax:
949-502-6686
P*****@**************M
(Full email address available in API data)
Regulatory Contact
JENNIFER WILLEY
COUNSEL
2524 N. BROADWAY
#537
EDMOND
OK
United States
Tel:
405-534-4914
J**************@*****************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 |
|---|---|---|---|---|---|
| NGO, PIERRE, NGOC | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 03/1997 | > 75% |