PACIFIC FINANCIAL STRATEGIES, INC
Adviser information for PACIFIC FINANCIAL STRATEGIES, INC last updated from Form ADV on March 1st, 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 | 5 |
|---|---|
| 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 | 707 | $138.0M |
| Non-Discretionary | 0 | $0 |
| Total | 707 | $138.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 421 | $95.4M |
| HNW Individuals | 19 | $42.6M |
| 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 | 0 |
| 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 businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHOURLY/FIXED FEES FOR FINANCIAL PLANNING |
Identifiers
| SEC RIA File Number | 801-70849 |
|---|---|
| SEC ERA File Number | 801-70849 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 151434 |
| Legal Entity Identifier | None |
Principal Office
223 E. THOUSAND OAKS BLVD., SUITE 403THOUSAND OAKS
CA
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: (818) 991-7794, Fax: (818) 735-0780
Chief Compliance Officer
ANNA-CHRISTINA BROCKSCHMIDT
223 E. THOUSAND OAKS BLVD., SUITE 403
THOUSAND OAKS
CA
United States
Tel:
818-991-7794
Fax:
(818) 735-0780
A***@********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 |
|---|---|---|---|---|---|
| GARCIA, JOSEPH, ARTHUR | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 11/2009 | 5-10% |
| BROCKSCHMIDT, ANNA-CHRISTINA | Individual | – | VICE PRESIDENT/FINANCIAL ADVISOR | 11/2015 | > 75% |