Pensionmark Financial Group, Llc

Pensionmark Financial Group, Llc

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24 E. Cota Street

Santa Barbara, CA 93101

888-201-5488

portcapllc.com

No. advisers: 194

AUM: $18,441,771,035

Asset Breakdown

Staff
Employees 194
Clients
High-net-worth individuals Up to 10%
Financial planning clients 0 (None)
High-net-worth client assets Up to 25%
Compensation
Percentage of assets under management Yes
Hourly charges Yes
Subscription fees No
Fixed fees Yes
Commissions No
Performance-based fees No
Total AUM Total Accounts Avg. Account AUM
Discretionary $3,816,186,761 3,474 $1,098,499
Non-discretionary 14625584274 1,692 $8,643,962
Total $18,441,771,035 5,166 $3,569,836

What keeps these executives up at night?

May 18, 2019 - David Reich, national president of retirement services, Hub International The regulatory change. When I look at the regulators when they come in and try to drive something, I think they drive value out of the space. ... Also, are we fighting to make sure...

10 largest RIA aggregators focused on defined-contribution plans

May 18, 2019 - Firm Total D-C assets 
overseen by network advisers ($B) Number 
of D-C 
advisers* Primary 
contact Business 
model Captrust** $256 102 Rick Shoff Managing director Raleigh, N.C. (215) 499-3361 rick.shoff@captrust.com Acquisition RIA: Captrust...

401(k) advisory firms with custom TDFs offer pain, solace to asset managers

July 20, 2018 - Target-date funds built by firms with large networks of 401(k) plan advisers are beginning to gather significant assets, posing a direct threat to some asset managers trying to distribute their own products. Consider Retirement Plan Advisory Group, a...

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

Purchase the data and information contained in the RIA Data Center in an Excel spreadsheet.

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*Methodology:InvestmentNews qualified 2,206 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of May 1, 2019. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after January 1, 2018, (2) total AUM is at least $100M, (3) does not have employees who are registered representatives of a broker-dealer, (4) provided investment advisory services to clients during its most recently completed fiscal year, (5) no more than 50% of amount of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies), (6) no more than 25% of amount of regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants), (7) no more than 25% of amount of regulatory assets under management is attributable to corporations or other businesses, (8) does not receive commissions, (9) provides financial planning services, (10) is not actively engaged in business as a broker-dealer (registered or unregistered), (11) is not actively engaged in business as a registered representative of a broker-dealer, (12) has neither a related person who is a broker-dealer/municipal securities dealer/government securities broker or dealer (registered or unregistered) not one who is an insurance company or agency.

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