ASL Financial, LLC

RIASEC Registered
Total AUM
$187M
Discretionary
$179M
96% of AUM
Avg account
$983K
Accounts
190
Employees
1
Advisory reps
1

Firm details

Headquarters
Los Gatos, California
CRD number
115479
Registered since
May 13, 2021
Custodians
PERSHING LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI66.98%
  • Individuals16.54%
  • Pension & Profit Sharing Plans16.48%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

ASL Financial, LLC is an independent, individually owned registered investment adviser that began SEC registration in 2021. The firm provides fee-based financial planning and portfolio management primarily for individuals, families and small businesses, and also works with some institutional clients. Its billing options include a percentage-of-AUM fee, hourly charges and fixed fees. ASL identifies equities as its preferred asset class and does not position itself as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 64%, Public Funds/Mutual Funds 14%, Investment Grade Corp Bonds 9%, US Government Bonds 6%, Cash & Cash Equivalents 5%, State & Local Bonds 2%64%
  • Exchange Traded Equities64%
  • Public Funds/Mutual Funds14%
  • Investment Grade Corp Bonds9%
  • US Government Bonds6%
  • Cash & Cash Equivalents5%

Contacts

1 of 1
  • Renee Snow

    Renee Snow

    Managing MemberCRD 2565833

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 78

Active vs passive

$131M in ETFs

Passive

92%

$120M

Active

7%

$11M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$16.6M21,64912.63%

Location

Primary office

Los Gatos, CA

Santa Clara

Location

Los Gatos, CA

Headquartered in Los Gatos, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
Santa Clara
Address
987 University Ave
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth