ASL Financial, LLC
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
FINTRXOverview
ASL Financial, LLC is an independent registered investment adviser formed as an LLC and SEC-registered in 2021. Ownership is held by an individual and the firm serves both individual/family and institutional clients, with a particular advisory focus on financial planning and portfolio management for individuals and small businesses. Fee arrangements include a percentage-of-AUM option alongside hourly and fixed-fee engagements. The firm does not identify itself as an active ESG investor, is not a multi-state adviser, and does not operate as a capital allocator.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities64%
- Public Funds/Mutual Funds14%
- Investment Grade Corp Bonds9%
- US Government Bonds6%
- Cash & Cash Equivalents5%
Contacts
1 of 1
Renee Snow
Managing MemberCRD 2565833
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 77Active vs passive
$127M in ETFs
93%
$118M
6%
$8.7M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE S&P 500 ETF (IVV) | BlackRock | Passive | Large Blend | $14.5M | 19,377 | 11.45% |
Location
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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