Hedge Fund Database

FINANCIAL ALTERNATIVES, INC.

Adviser information for FINANCIAL ALTERNATIVES, 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 12
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,195 $503.9M
Non-Discretionary 23 $3.2M
Total 1,218 $507.1M

Clients

Type Number RAUM
Individuals 120 $34.2M
HNW Individuals 137 $471.7M
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 $1.2M
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 AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-57864
SEC ERA File Number 801-57864
SEC CIK Numbers 1967227
SEC CRD Numbers 108245
Legal Entity Identifier None

Principal Office

7825 FAY AVENUE
SUITE 210
LA JOLLA
CA
United States
Monday - Friday, 9AM - 5PM
Tel: 858-459-8289, Fax: 858-459-8258

Websites

www.financialalternatives.com twitter.com/falternatives www.facebook.com/financialalternatives www.linkedin.com/company/financial-alternatives-inc- essentialplanners.com/ www.haswealth.com/

Chief Compliance Officer

JAMES FREEMAN
PRESIDENT/CHIEF COMPLIANCE OFFICER
7825 FAY AVENUE
SUITE 210
LA JOLLA
CA
United States
Tel: 858-459-8289
Fax: 858-459-8258
(Full email address available in API data)

Regulatory Contact

CHRISTOPHER JACCARD
CHIEF OPERATING OFFICER
7825 FAY AVENUE
SUITE 210
LA JOLLA
CA
United States
Tel: 858-459-8289
Fax: 858-459-8289
(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
FREEMAN, JAMES, ALAN Individual – PRESIDENT/CHIEF COMPLIANCE OFFICER 01/2001 50-75%
JACCARD, CHRISTOPHER, EDWARD Individual – CHIEF OPERATING OFFICER 07/2001 25-50%
LI, PEI-SHAN, ELLEN Individual – PARTNER 05/2021 5-10%
HOFFARTH, ANDREW, RAYMOND Individual – PARTNER 01/2023 5-10%

No. Employees, Historic

201002020202120222023202420256 on 4/10/20206 on 6/15/20207 on 3/1/202111 on 8/3/202114 on 3/23/202213 on 3/29/202312 on 8/24/202312 on 3/28/2024

RAUM, Historic

600M300M0202020212022202320242025230698711 on 4/10/2020230698711 on 6/15/2020245166129 on 3/1/2021274533512 on 8/3/2021458547924 on 3/23/2022458983612 on 3/29/2023458983612 on 8/24/2023507074427 on 3/28/2024

No. Clients, Historic

3001500202020212022202320242025132 on 4/10/2020132 on 6/15/2020137 on 3/1/2021146 on 8/3/2021256 on 3/23/2022255 on 3/29/2023255 on 8/24/2023258 on 3/28/2024

Holdings

From latest 13F, filed August 7th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ADOBE INC COM 481K 865 –
ALPHABET INC CAP STK CL A 275K 2K –
ALPHABET INC CAP STK CL C 273K 1K –
AMAZON COM INC COM 631K 3K –
AMPHENOL CORP NEW CL A 323K 5K –
APPLE INC COM 3M 13K –
BERKSHIRE HATHAWAY INC DEL CL A 1M 2 –
BERKSHIRE HATHAWAY INC DEL CL B NEW 859K 2K –
CARLYLE SECURED LENDING INC COM 355K 20K –
COHEN & STEERS CLOSED-END OP COM 556K 46K –
COSTCO WHSL CORP NEW COM 579K 681 –
DIMENSIONAL ETF TRUST EMERGING MKTS CO 2M 60K –
DIMENSIONAL ETF TRUST EMGR CRE EQT MNG 6M 237K –
DIMENSIONAL ETF TRUST INTL CORE EQT MK 12M 416K –
DIMENSIONAL ETF TRUST INTL CORE EQUITY 2M 67K –
DIMENSIONAL ETF TRUST US CORE EQT MKT 2M 53K –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 20M 612K –
DIMENSIONAL ETF TRUST US TARGETED VLU 257K 5K –
DIMENSIONAL ETF TRUST WORLD EX US CORE 474K 19K –
EATON VANCE RISK-MANAGED DIV COM 2M 273K –
EATON VANCE TAX-MANAGED GLOB COM 125K 15K –
EXXON MOBIL CORP COM 1M 10K –
GOLDMAN SACHS BDC INC SHS 893K 59K –
HOME DEPOT INC COM 2M 6K –
INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 328K 9K –
INVESCO EXCHANGE TRADED FD T FTSE RAFI 1500 349K 9K –
INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 1M 13K –
ISHARES GOLD TR ISHARES NEW 3M 68K –
ISHARES INC MSCI EURZONE ETF 312K 6K –
ISHARES TR CORE MSCI TOTAL 994K 15K –
ISHARES TR CORE S&P TTL STK 548K 5K –
ISHARES TR CORE S&P500 ETF 392K 717 –
ISHARES TR DEVSMCP EXNA ETF 244K 4K –
ISHARES TR IBOXX HI YD ETF 3M 40K –
ISHARES TR INTL DEV RE ETF 325K 16K –
ISHARES TR JPMORGAN USD EMG 5M 58K –
ISHARES TR MSCI EAFE ETF 329K 4K –
ISHARES TR RUS 1000 ETF 253K 851 –
ISHARES TR RUS MD CP GR ETF 709K 6K –
ISHARES TR RUS MDCP VAL ETF 442K 4K –
ISHARES TR RUS MID CAP ETF 309K 4K –
ISHARES TR S&P MC 400GR ETF 800K 9K –
ISHARES TR S&P MC 400VL ETF 432K 4K –
ISHARES TR S&P SML 600 GWT 1M 8K –
ISHARES TR SP SMCP600VL ETF 581K 6K –
ISHARES TR U.S. FINLS ETF 228K 2K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 6M 106K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 202K 4K –
MICROSOFT CORP COM 303K 679 –
NVIDIA CORPORATION COM 303K 2K –
PIMCO DYNAMIC INCOME FD SHS 288K 15K –
PIMCO INCOME STRATEGY FD II COM 174K 24K –
QUALCOMM INC COM 590K 3K –
ROPER TECHNOLOGIES INC COM 225K 400 –
S&P GLOBAL INC COM 244K 548 –
SEMPRA COM 383K 5K –
SPDR DOW JONES INDL AVERAGE UT SER 1 937K 2K –
SPDR S&P 500 ETF TR TR UNIT 730K 1K –
TELLURIAN INC NEW COM 15K 22K –
TESLA INC COM 579K 3K –
VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 207K 620 –
VANGUARD INDEX FDS GROWTH ETF 3M 8K –
VANGUARD INDEX FDS LARGE CAP ETF 2M 10K –
VANGUARD INDEX FDS MCAP VL IDXVIP 662K 4K –
VANGUARD INDEX FDS MID CAP ETF 511K 2K –
VANGUARD INDEX FDS REAL ESTATE ETF 5M 57K –
VANGUARD INDEX FDS SM CP VAL ETF 832K 5K –
VANGUARD INDEX FDS SML CP GRW ETF 711K 3K –
VANGUARD INDEX FDS TOTAL STK MKT 8M 30K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 1M 18K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 343K 8K –
VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 257K 3K –
VANGUARD INTL EQUITY INDEX F GLB EX US ETF 3M 82K –
VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 2M 23K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 576K 3K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 427K 9K –
VANGUARD WHITEHALL FDS EM MK GOV BD ETF 10M 165K –
VANGUARD WORLD FD ESG INTL STK ETF 224K 4K –
VANGUARD WORLD FD ESG US STK ETF 390K 4K –
VANGUARD WORLD FD MEGA CAP VAL ETF 320K 3K –
VANGUARD WORLD FD MEGA GRWTH IND 260K 828 –
VISA INC COM CL A 477K 2K –