Hedge Fund Database

PACIFIC WEALTH STRATEGIES GROUP, INC.

Adviser information for PACIFIC WEALTH STRATEGIES GROUP, INC. last updated from Form ADV on February 12th, 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 3
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 3
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 376 $153.6M
Non-Discretionary 163 $23.5M
Total 539 $177.1M

Clients

Type Number RAUM
Individuals 113 $47.2M
HNW Individuals 59 $102.5M
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 20 $27.2M
Charitable organizations 1 $54,540
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 1 $83,768
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)CONSULTING
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-68311
SEC ERA File Number 801-68311
SEC CIK Numbers 1766571
SEC CRD Numbers 144789
Legal Entity Identifier None

Principal Office

4141 STATE STREET, SUITE B11
SANTA BARBARA
CA
United States
Monday - Friday, 8AM TO 1PM
Tel: 805-966-7775, Fax: 805-966-7736

Websites

pwsg.net pacificwealthstrategiesgroup.com pwsg.biz pwsg.us pwsg.org www.facebook.com/pacific-wealth-strategies-group-inc-685369574850744/ www.linkedin.com/company/pacific-wealth-strategies-group-inc-

Chief Compliance Officer

ERIN J. NEIL
PRESIDENT & CHIEF COMPLIANCE OFFICER
4141 STATE STREET, SUITE B11
SANTA BARBARA
CA
United States
Tel: 805-966-7775
Fax: 805-966-7736
(Full email address available in API data)

Regulatory Contact

JEFFERY D. BROOKSHIRE
VICE-PRESIDENT, CORPORATE SECRETARY, TREASURER
4141 STATE STREET, SUITE B11
SANTA BARBARA
CA
United States
Tel: 805-966-7775
Fax: 805-966-7736
(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
NEIL, ERIN, JANE Individual – PRESIDENT & CHIEF COMPLIANCE OFFICER 08/2007 50-75%
BROOKSHIRE, JEFFERY, DANE Individual – VICE PRESIDENT, CORPORATE SECRETARY, TREASURER 08/2007 50-75%

No. Employees, Historic

105020192020202120222023202420258 on 6/5/20197 on 8/2/20197 on 2/20/20207 on 5/14/20207 on 5/21/20207 on 6/30/20207 on 6/30/20207 on 3/12/20217 on 2/18/20223 on 6/6/20223 on 6/8/20223 on 2/21/20233 on 12/19/20233 on 2/12/2024

RAUM, Historic

400M200M02019202020212022202320242025171107944 on 6/5/2019171107944 on 8/2/2019214697288 on 2/20/2020214697288 on 5/14/2020214697288 on 5/21/2020214697288 on 6/30/2020214697288 on 6/30/2020267836940 on 3/12/2021337245127 on 2/18/2022137251837 on 6/6/2022137251837 on 6/8/2022131259107 on 2/21/2023131259107 on 12/19/2023177127291 on 2/12/2024

No. Clients, Historic

30015002019202020212022202320242025262 on 6/5/2019262 on 8/2/2019260 on 2/20/2020260 on 5/14/2020260 on 5/21/2020260 on 6/30/2020260 on 6/30/2020271 on 3/12/2021295 on 2/18/2022154 on 6/6/2022154 on 6/8/2022182 on 2/21/2023182 on 12/19/2023194 on 2/12/2024

Holdings

From latest 13F, filed July 22nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALPHABET INC CAP STK CL A 4M 22K 0
AMAZON COM INC COM 5M 27K 0
APPLE INC COM 6M 28K 0
BANK AMERICA CORP COM 1M 26K 0
BANK AMERICA CORP 7.25%CNV PFD L 360K 301 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 750K 2K 0
BLACKROCK ENHANCED GLOBAL DI COM 180K 17K 0
CALAMOS CONV & HIGH INCOME F COM SHS 7M 642K 0
CATERPILLAR INC COM 2M 6K 0
CBRE GBL REAL ESTATE INC FD COM 3M 600K 0
CHEVRON CORP NEW COM 1M 9K 0
COCA COLA CO COM 1M 22K 0
COSTCO WHSL CORP NEW COM 247K 291 0
CROWDSTRIKE HLDGS INC CL A 3M 8K 0
D R HORTON INC COM 641K 5K 0
ELI LILLY & CO COM 267K 295 0
EXXON MOBIL CORP COM 242K 2K 0
HOME DEPOT INC COM 2M 5K 0
INVESCO CALIF VALUE MUN INCO COM 826K 79K 0
INVESCO EXCH TRD SLF IDX FD BULSHS 2024 HY 2M 69K 0
INVESCO EXCH TRD SLF IDX FD BULSHS 2025 HY 2M 68K 0
INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 2M 106K 0
INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 866K 42K 0
INVESCO EXCHANGE TRADED FD T BUYBACK ACHIEV 11M 105K 0
INVESCO QQQ TR UNIT SER 1 9M 19K 0
LOCKHEED MARTIN CORP COM 1M 3K 0
MANNKIND CORP COM NEW 71K 14K 0
MICROSOFT CORP COM 4M 10K 0
NUVEEN CA QUALTY MUN INCOME COM 732K 63K 0
NUVEEN CALIFORNIA AMT QLT MU COM 410K 33K 0
NUVEEN PFD & INCOME OPPORTUN COM 75K 10K 0
NVIDIA CORPORATION COM 6M 50K 0
OMEGA HEALTHCARE INVS INC COM 2M 57K 0
PROCTER AND GAMBLE CO COM 2M 9K 0
PROSHARES TR S&P 500 DV ARIST 12M 126K 0
SCHWAB STRATEGIC TR US LCAP GR ETF 10M 98K 0
SCHWAB STRATEGIC TR US DIVIDEND EQ 1M 18K 0
SCHWAB STRATEGIC TR FUNDAMENTAL US L 5M 81K 0
SELECT SECTOR SPDR TR TECHNOLOGY 762K 3K 0
SELECT SECTOR SPDR TR SBI HEALTHCARE 271K 2K 0
SOUTHERN CO COM 1M 18K 0
SPDR S&P 500 ETF TR TR UNIT 699K 1K 0
TESLA INC COM 297K 2K 0
THE TRADE DESK INC COM CL A 2M 16K 0
TORONTO DOMINION BK ONT COM NEW 913K 17K 0
ULTA BEAUTY INC COM 1M 3K 0
VANGUARD BD INDEX FDS TOTAL BND MRKT 1M 18K 0
VISA INC COM CL A 1M 5K 0