EPSILON FINANCIAL GROUP, INC.
Adviser information for EPSILON FINANCIAL GROUP, INC. last updated from Form ADV on March 18th, 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 | 8 |
|---|---|
| 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 | 487 | $530.6M |
| Non-Discretionary | 8 | $28.4M |
| Total | 495 | $559.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 342 | $137.5M |
| HNW Individuals | 148 | $415.4M |
| 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 | $6.1M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-62454 |
|---|---|
| SEC ERA File Number | 801-62454 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111990 |
| Legal Entity Identifier | None |
Principal Office
2801 WATERMAN BLVD., SUITE 250FAIRFIELD
CA
United States
Monday - Friday, 8:30 AM TO 5:30 PM
Tel: 707-428-5500, Fax: 707-428-5519
Chief Compliance Officer
MARK SIEVERS
2801 WATERMAN BLVD., SUITE 250
FAIRFIELD
CA
United States
Tel:
707-428-5500
Fax:
707-428-5519
M***@****************M
(Full email address available in API data)
Regulatory Contact
MICHAEL HATHAWAY
ASSISTANT CFO
2801 WATERMAN BLVD
SUITE 250
FAIRFIELD
CA
United States
Tel:
(707) 428-5500
Fax:
(707) 428-5519
M***@****************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 |
|---|---|---|---|---|---|
| SIEVERS, MARK, SCOTT | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER | 08/2005 | 50-75% |
| PARK, DENNIS, PETE | Individual | – | ASSISTANT SECRETARY | 01/2023 | 5-10% |
| MARTINEZ, LEO, FRANK | Individual | – | SECRETARY | 01/2023 | 5-10% |
| MATTEI, PETER, A.C. | Individual | – | TREASURER | 01/2023 | 5-10% |
| HATHAWAY, MICHAEL, JEFFREY | Individual | – | ASSISTANT CFO | 07/2021 | 5-10% |