FINDEC WEALTH SERVICES, INC.

RIASEC RegisteredEst. 2021
Total AUM
$628M
Discretionary
$628M
100% of AUM
Avg account
$764K
Accounts
822
Employees
5
Advisory reps
4

Firm details

Headquarters
STOCKTON, California
CRD number
311949
Registered since
January 11, 2021
Website
findec.com
Custodians
CHARLES SCHWAB & CO., INC., CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • Pension & Profit Sharing Plans78.07%
  • HNWI10.43%
  • Individuals8.69%
  • State / Municipal Government2.51%
  • Charitable Organizations0.22%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension Consulting

Firm profile

FINTRX

Overview

Findec Wealth Services, Inc. is an independent registered investment adviser organized as a corporation and SEC-registered since 2021. The firm serves both individual and family clients as well as institutional accounts, offering financial planning, portfolio management for individuals, small businesses and institutions, and pension consulting services. Its fee arrangements include percentage-of-AUM billing alongside hourly and fixed-fee engagements. Findec does not identify as an active ESG investor and is not presented as a multi-state adviser; it operates under a domestic ownership structure.

Assets & Accounts

Public Holdings

Investments & Alternatives

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: Public Funds/Mutual Funds 70%, Private Funds 27%, Exchange Traded Equities 1%, US Government Bonds 1%, Cash & Cash Equivalents 1%70%
  • Public Funds/Mutual Funds70%
  • Private Funds27%
  • Exchange Traded Equities1%
  • US Government Bonds1%
  • Cash & Cash Equivalents1%

Owners & executives

2 of 2
  • KENNETH HEROLD

    Chief Compliance OfficerCRD 2695760

  • MICHAEL LEE

    President and Chief Executive OfficerCRD 3221162

Contacts

2 of 2
  • RUBEN PAITA

    Retirement Plan AdvisorCRD 7342972

  • ERIC KLOPPING

    Wealth AdvisorCRD 8089706

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 29

Active vs passive

$92.4M in ETFs

Passive

29%

$26.6M

Active

71%

$65.8M

ETFProviderStyleCategoryValueShares% of portfolio
CAPITAL GROUP CORE PLUS INCOME ETF (CGCP)Capital GroupActiveIntermediate Core Plus Bond$14.4M644,52215.58%

Location

Primary office

STOCKTON, CA

SAN JOAQUIN

Location

STOCKTON, CA

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

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
SAN JOAQUIN
Address
1776 W March Ln
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth