Hedge Fund Database

LIFESTEPS FINANCIAL

LIFESTEPS FINANCIAL, INC. Legal Name

Adviser information for LIFESTEPS FINANCIAL last updated from Form ADV on March 22nd, 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 6
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 6
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 411 $256.9M
Non-Discretionary 302 $58.5M
Total 713 $315.4M

Clients

Type Number RAUM
Individuals 470 $110.3M
HNW Individuals 78 $195.6M
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 7 $9.5M
Other 0 $0
Type Number
No. of Non-RAUM Clients 1
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsBILL PAYMENT AND RECONCILIATION SERVICE
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-71544
SEC ERA File Number 801-71544
SEC CIK Numbers 1801373
SEC CRD Numbers 153852
Legal Entity Identifier None

Principal Office

250 WEST FIRST STREET
SUITE 248
CLAREMONT
CA
United States
Monday - Friday, 7:00 AM TO 4:00 PM
Tel: 909-267-3770, Fax: 909-267-3790

Websites

www.facebook.com/lifestepsfa www.lifestepsfinancial.com www.youtube.com/channel/uctl3b50sybwg0uatsqwtjda www.linkedin.com/company/lifestepsfinancial twitter.com/lifestepsfa

Chief Compliance Officer

HENRY FORD
PRINCIPAL, CFO
250 WEST FIRST STREET
SUITE 248
CLAREMONT
CA
United States
Tel: 909-267-3770
Fax: 909-267-3790
(Full email address available in API data)

Regulatory Contact

GLADYS LIMONES
SENIOR ADMINISTRATOR, OFFICE MANAGER
250 WEST FIRST STREET
SUITE 248
CLAREMONT
CA
United States
Tel: 909-267-3770
Fax: 909-267-3790
(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
FORD, HENRY, MILTON Individual – PRINCIPAL, CFO, & CHIEF COMPLIANCE OFFICER 06/2010 > 75%

No. Employees, Historic

10502020202120222023202420257 on 2/19/20207 on 6/26/20207 on 10/27/20207 on 3/23/20217 on 7/16/20216 on 3/4/20226 on 10/12/20226 on 3/24/20236 on 10/12/20236 on 3/22/2024

RAUM, Historic

400M200M0202020212022202320242025207981965 on 2/19/2020207981965 on 6/26/2020207981965 on 10/27/2020239701755 on 3/23/2021239701755 on 7/16/2021298197991 on 3/4/2022298197991 on 10/12/2022262829465 on 3/24/2023262829465 on 10/12/2023315394125 on 3/22/2024

No. Clients, Historic

6003000202020212022202320242025301 on 2/19/2020301 on 6/26/2020301 on 10/27/2020387 on 3/23/2021387 on 7/16/2021461 on 3/4/2022461 on 10/12/2022526 on 3/24/2023526 on 10/12/2023555 on 3/22/2024

Holdings

From latest 13F, filed July 17th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMAZON COM INC COM Stock 2M 10K 0
INVESCO QQQ TRUST SERIES I ETF 18M 39K 0
TECHNOLOGY SELECT SECTOR SPDR FUND ETF 3M 15K 0
JOHNSON & JOHNSON COM Stock 759K 5K 0
COSTCO WHSL CORP NEW COM Stock 1M 1K 0
PROCTER AND GAMBLE CO COM Stock 707K 4K 0
COCA COLA CO COM Stock 856K 13K 0
SPDR S&P 500 ETF TRUST ETF 17M 31K 0
MASTERCARD INCORPORATED CL A Stock 494K 1K 0
ILLINOIS TOOL WKS INC COM Stock 645K 3K 0
EMERSON ELEC CO COM Stock 668K 6K 0
VERIZON COMMUNICATIONS INC COM Stock 307K 7K 0
PEPSICO INC COM Stock 624K 4K 0
KIMBERLY-CLARK CORP COM Stock 349K 3K 0
US BANCORP DEL COM NEW Stock 2M 51K 0
HOME DEPOT INC COM Stock 2M 5K 0
AUTOMATIC DATA PROCESSING INC COM Stock 1M 4K 0
SCHWAB U.S. SMALL-CAP ETF ETF 266K 6K 0
SCHWAB U.S. BROAD MARKET ETF ETF 271K 4K 0
SCHWAB U.S. LARGE-CAP ETF ETF 218K 3K 0
SCHWAB U.S. LARGE-CAP GROWTH ETF ETF 683K 7K 0
ISHARES CORE S&P SMALL CAP ETF ETF 544K 5K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 1M 3K 0
ALPHABET INC CAP STK CL A Stock 437K 2K 0
INTUIT COM Stock 298K 454 0
MICROSOFT CORP COM Stock 6M 14K 0
OXFORD SQUARE CAP CORP COM CEF 29K 10K 0
NEXTERA ENERGY INC COM Stock 673K 10K 0
TESLA INC COM Stock 495K 3K 0
VANGUARD HEALTH CARE ETF ETF 289K 1K 0
FINANCIAL SELECT SECTOR SPDR FUND ETF 313K 8K 0
SCHWAB U.S. LARGE-CAP VALUE ETF ETF 368K 5K 0
VANGUARD S&P 500 ETF ETF 485K 969 0
CROWDSTRIKE HLDGS INC CL A Stock 223K 581 0
ELI LILLY & CO COM Stock 271K 299 0
SCHWAB U.S. MID-CAP ETF ETF 2M 24K 0
ISHARES RUSSELL 2000 ETF ETF 3M 13K 0
EDISON INTL COM Stock 237K 3K 0
SCHWAB US DIVIDEND EQUITY ETF ETF 2M 21K 0
TRACTOR SUPPLY CO COM Stock 259K 960 0
VISA INC COM CL A Stock 253K 964 0
ISHARES MSCI USA MIN VOL FACTOR ETF ETF 514K 6K 0
VANGUARD VALUE ETF ETF 2M 15K 0
VANGUARD GROWTH ETF ETF 2M 5K 0
META PLATFORMS INC CL A Stock 454K 900 0
ASML HOLDING N V N Y REGISTRY SHS ADR 486K 475 0
BROADCOM INC COM Stock 316K 197 0
NVIDIA CORPORATION COM Stock 6M 51K 0
GENELUX CORPORATION COM Stock 130K 67K 0
ABBVIE INC COM Stock 1M 7K 0
QUALCOMM INC COM Stock 655K 3K 0
MCDONALDS CORP COM Stock 361K 1K 0
FLEXSHARES QUALITY DIVIDEND INDEX FUND ETF 220K 3K 0
CISCO SYS INC COM Stock 286K 6K 0
GE AEROSPACE COM NEW Stock 287K 2K 0
ISHARES MSCI USA MOMENTUM FACTOR ETF ETF 421K 2K 0
FIDELITY MSCI HEALTH CARE INDEX ETF ETF 603K 9K 0
ISHARES S&P 500 GROWTH ETF ETF 1M 12K 0
ISHARES CORE S&P 500 ETF ETF 343K 627 0
WELLS FARGO CO NEW COM Stock 856K 14K 0
JPMORGAN CHASE & CO. COM Stock 2M 10K 0
CHEVRON CORP NEW COM Stock 802K 5K 0
SPDR S&P DIVIDEND ETF ETF 4M 29K 0
WALMART INC COM Stock 550K 8K 0
INTERNATIONAL BUSINESS MACHS COM Stock 222K 1K 0
VANGUARD HIGH DIVIDEND YIELD INDEX ETF ETF 4M 31K 0
CATERPILLAR INC COM Stock 593K 2K 0
ALPHABET INC CAP STK CL C Stock 634K 3K 0
AMGEN INC COM Stock 399K 1K 0
APPLIED MATLS INC COM Stock 264K 1K 0
NUVEEN PFD & INCOME OPPORTUNIT COM CEF 86K 12K 0
LEXICON PHARMACEUTICALS INC COM NEW Stock 17K 10K 0
ISHARES S&P SMALL-CAP 600 VALUE ETF ETF 2M 19K 0
LAM RESEARCH CORP COM Stock 223K 209 0
VANGUARD MEGA CAP GROWTH ETF ETF 1M 4K 0
EXXON MOBIL CORP COM Stock 1M 13K 0
UNITEDHEALTH GROUP INC COM Stock 268K 526 0
NOVO-NORDISK A S ADR ADR 1M 7K 0
ISHARES CORE S&P MID-CAP ETF ETF 4M 68K 0
APPLE INC COM Stock 7M 33K 0
DISNEY WALT CO COM Stock 474K 5K 0