WAGNER LOFTIN INVESTMENT SERVICES LLC
Adviser information for WAGNER LOFTIN INVESTMENT SERVICES LLC last updated from Form ADV on March 21st, 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 | 7 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,005 | $418.6M |
| Non-Discretionary | 2 | $468,090 |
| Total | 1,007 | $419.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 320 | $96.9M |
| HNW Individuals | 131 | $322.2M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 451 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-63145 |
|---|---|
| SEC ERA File Number | 801-63145 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109770 |
| Legal Entity Identifier | None |
Principal Office
3478 BUSKIRK AVENUESUITE 333
PLEASANT HILL
CA
United States
Monday - Friday, 8:00AM - 3:00PM
Tel: 925-930-7176, Fax: 925-930-6668
Chief Compliance Officer
GERALD GUINTU
FINANCIAL ADVISOR
3478 BUSKIRK AVE.
SUITE 333
PLEASANT HILL
CA
United States
Tel:
9259307176 XT 310
Fax:
9259306668
G******@*************M
(Full email address available in API data)
Regulatory Contact
RONALD WAGNER
FINANCIAL ADVISOR
3478 BUSKIRK AVE., STE. 333
PLEASANT HILL
CA
United States
Tel:
925-930-7176
R******@*************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 |
|---|---|---|---|---|---|
| WAGNER, RONALD, JOSEPH | Individual | – | OWNER | 07/2022 | > 75% |
| GUINTU, GERALD, GILBERTO | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2004 | < 5% |