HAUSSMANN FINANCIAL INC.
Adviser information for HAUSSMANN FINANCIAL INC. last updated from Form ADV on January 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 | 8 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 8 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,201 | $771.9M |
| Non-Discretionary | 15 | $6.6M |
| Total | 2,216 | $778.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,315 | $467.9M |
| HNW Individuals | 190 | $290.3M |
| 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 | 26 | $18.5M |
| Charitable organizations | <5 | $760,859 |
| 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 | <5 | $1.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 778.5M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WEALTH MANAGEMENT PLATFORM | VISION2020 WEALTH MANAGEMENT CORP. |
Identifiers
| SEC RIA File Number | 801-72313 |
|---|---|
| SEC ERA File Number | 801-72313 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110747 |
| Legal Entity Identifier | None |
Principal Office
23201 LAKE CENTER DRIVE#300
LAKE FOREST
CA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 949-250-4973, Fax: 949-251-0629
Chief Compliance Officer
TRUDY DIANE HAUSSMANN
PRESIDENT
23201 LAKE CENTER DRIVE
#300
LAKE FOREST
CA
United States
Tel:
949-250-4973
Fax:
949-251-0629
T****@*********************M
(Full email address available in API data)
Regulatory Contact
JASON SIMARD
23201 LAKE CENTER DRIVE
#300
LAKE FOREST
CA
United States
Tel:
949-250-4973
Fax:
949-251-0629
J****@*********************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 |
|---|---|---|---|---|---|
| HAUSSMANN, TRUDY, DIANE | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 08/1996 | > 75% |