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 registered investment adviser organized as a limited liability company and SEC-registered since 2011. The firm functions as a capital allocator serving both individual and family clients as well as institutional investors. Its advisory offering centers on financial planning and portfolio management for individuals and small businesses, plus manager selection and educational seminars; the firm also operates as an insurance broker and maintains a real estate broker affiliation. Fee arrangements include percentage-of-AUM billing alongside hourly and fixed-fee engagements. WWM Financial does not identify as an active ESG investor and is owned by an individual. The firm received recognition from FA Magazine as a Top RIA Firm in 2020.
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 1
Kerry Harmon
Chief Compliance OfficerCRD 2430783
Contacts
3 of 4
Gregory 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 330Active vs passive
$58.4M in ETFs
87%
$50.9M
9%
$7.5M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE S&P SMALL-CAP ETF (IJR) | BlackRock | Passive | Small Blend | $5.9M | 39,990 | 10.16% |
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
Similar firms
Seaside Wealth Management, Inc.
RIACarlsbad, CA
MKT Advisors LLC
RIACarlsbad, CA
Vistica Wealth Advisors, LLC
RIACarlsbad, CA
Anchor Bay Capital, Inc.
RIACarlsbad, CA
Carlsbad Wealth Advisory Group, Inc.
RIACarlsbad, CA
Frank Financial Advisors
RIACarlsbad, CA