Financial Designs Corporation

RIASEC Registered
Total AUM
$508M
Discretionary
$371M
73% of AUM
Avg account
$387K
Accounts
1,312
Employees
6
Advisory reps
4

Firm details

Headquarters
Claremont, California
CRD number
14829
Registered since
May 24, 1995
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI68.57%
  • Individuals31.42%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Financial Designs Corporation is an independent registered investment adviser that has been SEC-registered since 1995. The firm operates as a corporation with ownership described as a combination of a domestic entity and an individual. It serves a mixed client base that includes individuals and families as well as institutional clients. The core advisory services are financial planning and portfolio management for individuals and small businesses. Fee arrangements are flexible and include a percentage-of-AUM model, hourly billing, and fixed-fee engagements. The firm does not identify as an active ESG investor and does not list pension consulting or related-adviser activities among its services.

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: Public Funds/Mutual Funds 95%, Cash & Cash Equivalents 2%, Exchange Traded Equities 1%, US Government Bonds 1%, State & Local Bonds 1%95%
  • Public Funds/Mutual Funds95%
  • Cash & Cash Equivalents2%
  • Exchange Traded Equities1%
  • US Government Bonds1%
  • State & Local Bonds1%

Owners & executives

1 of 1
  • Greg Morton

    Greg Morton

    CFOCRD 5771231

Contacts

3 of 3
  • Vaughn Heydel

    Vaughn Heydel

    Account Vice President and Financial AdvisorCRD 5101142

  • Nino Pavan

    Nino Pavan

    PresidentCRD 2358609

  • Brandon Morton

    Brandon Morton

    Financial Advisor AssistantCRD 5619974

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 30

Active vs passive

$194M in ETFs

Passive

67%

$130M

Active

25%

$64.3M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P TOTAL US STOCK MARKET ETF (ITOT)BlackRockPassiveLarge Blend$46.7M281,06824.05%

Location

Primary office

Claremont, CA

Los Angeles

Location

Claremont, CA

Headquartered in Claremont, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.

Metro area
Los Angeles-Long Beach, CA
Region
West
County
Los Angeles
Address
540 W Baseline Rd
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth