SIMPLIFI, INC.
Adviser information for SIMPLIFI, INC. last updated from Form ADV on March 13th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 557 | $240.2M |
| Non-Discretionary | 0 | $0 |
| Total | 557 | $240.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 241 | $123.6M |
| HNW Individuals | 60 | $116.6M |
| 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 | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
9666 BUSINESSPARK AVESUITE 111
SAN DIEGO
CA
United States
Monday - Friday, 7:30 AM - 4:00 PM
Tel: 858-695-6600, Fax: 877-692-9700
Chief Compliance Officer
LAUREN TORRES
9666 BUSINESSPARK AVE
SUITE 111
SAN DIEGO
CA
United States
Tel:
858-695-6600
Fax:
877-692-9700
L*****@***************M
(Full email address available in API data)
Regulatory Contact
ERIC SIGDESTAD
CHIEF EXECUTIVE OFFICER
9666 BUSINESSPARK AVE
SUITE 111
SAN DIEGO
CA
United States
Tel:
858-695-6600
Fax:
877-692-9700
E***@***************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 |
|---|---|---|---|---|---|
| SIGDESTAD, ERIC, ALLEN | Individual | – | CHIEF EXECUTIVE OFFICER | 08/2010 | > 75% |
| TORRES, LAUREN, SUZANNE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 25th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ARK ETF TR | INNOVATION ETF | 296K | 7K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 875K | 2K | – |
| BLACKROCK ETF TRUST II | INTERMEDIA MUNI | 1M | 45K | – |
| ETF SER SOLUTIONS | DISTILLATE US | 11M | 212K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST LADDERED | 11M | 386K | – |
| GRANITESHARES ETF TR | HIPS US HIGH INC | 7M | 512K | – |
| INVESCO EXCH TRADED FD TR II | CALIF AMT MUN | 1M | 60K | – |
| INVESCO EXCH TRADED FD TR II | FLOATING RATE MU | 712K | 29K | – |
| INVESCO EXCH TRADED FD TR II | SR LN ETF | 13M | 607K | – |
| INVESCO EXCHANGE TRADED FD T | INTL DIVI ACHI | 384K | 21K | – |
| INVESCO EXCHANGE TRADED FD T | LARGE CAP VALUE | 490K | 9K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 10M | 58K | – |
| INVESCO QQQ TR | UNIT SER 1 | 679K | 1K | – |
| ISHARES TR | 7-10 YR TRSY BD | 2M | 18K | – |
| ISHARES TR | AGGRES ALLOC ETF | 596K | 8K | – |
| ISHARES TR | CALIF MUN BD ETF | 1M | 25K | – |
| ISHARES TR | GRWT ALLOCAT ETF | 1M | 21K | – |
| ISHARES TR | IBOXX INV CP ETF | 36M | 337K | – |
| ISHARES TR | MODERT ALLOC ETF | 387K | 9K | – |
| ISHARES TR | MSCI EAFE ETF | 663K | 8K | – |
| ISHARES TR | RUSSELL 2000 ETF | 15M | 76K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 414K | 7K | – |
| NORTHROP GRUMMAN CORP | COM | 318K | 729 | – |
| PACER FDS TR | US CASH COWS 100 | 2M | 39K | – |
| PIMCO ETF TR | SR LN ACTIVE ETF | 319K | 6K | – |
| SCHWAB STRATEGIC TR | EMRG MKTEQ ETF | 348K | 13K | – |
| SEMPRA | COM | 245K | 3K | – |
| SPDR INDEX SHS FDS | MSCI EAFE STRTGC | 20M | 264K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 16M | 30K | – |
| SPDR SER TR | BLOOMBERG INVT | 829K | 27K | – |
| SPDR SER TR | NUVEEN BLOOMBERG | 1M | 52K | – |
| SPDR SER TR | PRTFLO S&P500 HI | 437K | 11K | – |
| VANECK ETF TRUST | CEF MUNI INCOME | 687K | 31K | – |
| VANECK ETF TRUST | MRNGSTR WDE MOAT | 2M | 28K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 1M | 4K | – |
| VANGUARD MALVERN FDS | STRM INFPROIDX | 955K | 20K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 12M | 63K | – |
| VANGUARD STAR FDS | VG TL INTL STK F | 410K | 7K | – |
| VERIZON COMMUNICATIONS INC | COM | 1M | 28K | – |
| WISDOMTREE TR | EM MKTS QTLY DIV | 5M | 200K | – |
| WISDOMTREE TR | YIELD ENHANCD US | 36M | 841K | – |