Findec Wealth Services, Inc.
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
FINTRXOverview
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 clients, offering fee arrangements that include a percentage of assets under management, hourly charges, and fixed fees. Core advisory services listed on its ADV emphasize financial planning and discretionary portfolio management for individuals, small businesses, and institutional clients, along with pension consulting services. The firm does not identify as an active ESG investor and is not structured as a capital allocator; its model appears to rely on external managers and pooled products rather than running proprietary private funds.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
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
- 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
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 30Active vs passive
$98.5M in ETFs
29%
$28.6M
71%
$69.9M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| CAPITAL GROUP CORE PLUS INCOME ETF (CGCP) | Capital Group | Active | Intermediate Core Plus Bond | $15.1M | 676,714 | 15.32% |
Location
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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