WWM Financial
Firm details
- Headquarters
- CARLSBAD, California
- CRD number
- 157620
- Registered since
- July 29, 2011
- Website
- wwmfinancial.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI68.63%
- Individuals25.68%
- Pension & Profit Sharing Plans4.67%
- Corporations / Businesses1.02%
- Services
- Financial PlanningPortfolio Management for IndividualsSelection of Other AdvisersEducational Seminars / Workshops
Firm profile
FINTRXOverview
WWM Financial is an independent, SEC-registered RIA that has been operating since 2011 and is owned by an individual principal. The firm serves both individual/family and institutional clients and describes itself as a capital allocator. Its advisory services emphasize financial planning, portfolio management for individuals and small businesses, manager selection, and educational workshops; it also operates as an insurance broker and is affiliated with real estate brokerage activity. Fee arrangements include percentage-of-AUM billing as well as hourly and fixed-fee engagements. WWM Financial does not position itself as an active ESG investor. The firm was recognized by FA Magazine in 2020 as a Top RIA Firm.
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 Equities55%
- Private Funds25%
- Cash & Cash Equivalents12%
- Non-Exchange Traded Equities5%
- Investment Grade Corp Bonds2%
Owners & executives
1 of 1KERRY HARMON
Chief Compliance OfficerCRD 2430783
Contacts
3 of 4GREGORY CARROLL
Financial AdvisorCRD 2542500
CATHERINE MAGANA
Managing PartnerCRD 3235785
VINCENT STEFANO
Portfolio ManagerCRD 1036945
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 322Active vs passive
$52.5M in ETFs
87%
$45.8M
9%
$6.7M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE S&P SMALL-CAP ETF (IJR) | BlackRock | Passive | Small Blend | $4.9M | 39,577 | 9.37% |
Location
CARLSBAD, CA
SAN DIEGO
Location
CARLSBAD, CA
Headquartered in CARLSBAD, CA, in the West of the United States.
- Region
- West
- County
- SAN DIEGO
- Address
- 2131 Palomar Airport Rd
- Time zone
- PT (UTC-8)
- Office locations
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