HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC.
CRD #134563 SEC #801-125720 VENTURA, CA 805-648-5300
SEC Registered
Total AUM
$25.1M
Discretionary
$1.3M
Employees
3
Clients
1
Accounts
48
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Aug 26, 2024
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| GRIFFITH, JASON, DANIEL | I | CHIEF COMPLIANCE OFFICER & WEALTH ADVISOR | NA | |
| GRIFFITH, JASON, DANIEL | I | CHIEF COMPLIANCE OFFICER & WEALTH ADVISOR | NA | |
| GRIFFITH, JASON, DANIEL | I | CHIEF COMPLIANCE OFFICER & WEALTH ADVISOR | NA | |
| GRIFFITH, JASON, DANIEL | I | CHIEF COMPLIANCE OFFICER & WEALTH ADVISOR | NA | |
| GRIFFITH, JASON, DANIEL | I | CHIEF COMPLIANCE OFFICER & WEALTH ADVISOR | NA | |
| GRIFFITH, JASON, DANIEL | I | CHIEF COMPLIANCE OFFICER & WEALTH ADVISOR | NA | |
| GRIFFITH, JASON, DANIEL | I | CHIEF COMPLIANCE OFFICER & WEALTH ADVISOR | NA | |
| GRIFFITH, JASON, DANIEL | I | CHIEF COMPLIANCE OFFICER & WEALTH ADVISOR | NA | |
| GRIFFITH, JASON, DANIEL | I | CHIEF COMPLIANCE OFFICER & WEALTH ADVISOR | NA | |
| GRIFFITH, JASON, DANIEL | I | CHIEF COMPLIANCE OFFICER & WEALTH ADVISOR | NA | |
| GRIFFITH, JASON, DANIEL | I | CHIEF COMPLIANCE OFFICER & WEALTH ADVISOR | NA | |
| GRIFFITH, JASON, DANIEL | I | CHIEF COMPLIANCE OFFICER & WEALTH ADVISOR | NA | |
| ORNELAS, CONNIE, LOU | I | CFO | NA | Control |
| ORNELAS, CONNIE, LOU | I | CFO | NA | Control |
| ORNELAS, CONNIE, LOU | I | CFO | NA | Control |
| ORNELAS, CONNIE, LOU | I | CFO | NA | Control |
| ORNELAS, CONNIE, LOU | I | CFO | NA | Control |
| ORNELAS, CONNIE, LOU | I | CFO | NA | Control |
| ORNELAS, CONNIE, LOU | I | CFO | NA | Control |
| ORNELAS, CONNIE, LOU | I | CFO | NA | Control |
| ORNELAS, CONNIE, LOU | I | CFO | NA | Control |
| ORNELAS, CONNIE, LOU | I | CFO | NA | Control |
| ORNELAS, CONNIE, LOU | I | CFO | NA | Control |
| ORNELAS, CONNIE, LOU | I | CFO | NA | Control |
| HOFFMAN, ROSS, FLOYD | I | PRESIDENT/CEO | E | Control |
| HOFFMAN, ROSS, FLOYD | I | PRESIDENT/CEO | E | Control |
| HOFFMAN, ROSS, FLOYD | I | PRESIDENT/CEO | E | Control |
| HOFFMAN, ROSS, FLOYD | I | PRESIDENT/CEO | E | Control |
| HOFFMAN, ROSS, FLOYD | I | PRESIDENT/CEO | E | Control |
| HOFFMAN, ROSS, FLOYD | I | PRESIDENT/CEO | E | Control |
| HOFFMAN, ROSS, FLOYD | I | PRESIDENT/CEO | E | Control |
| HOFFMAN, ROSS, FLOYD | I | PRESIDENT/CEO | E | Control |
| HOFFMAN, ROSS, FLOYD | I | PRESIDENT/CEO | E | Control |
| HOFFMAN, ROSS, FLOYD | I | PRESIDENT/CEO | E | Control |
| HOFFMAN, ROSS, FLOYD | I | PRESIDENT/CEO | E | Control |
| HOFFMAN, ROSS, FLOYD | I | PRESIDENT/CEO | E | Control |
Registrations
Federal
IA
Aug 26, 2024 REGISTERED
Notice Filings (2)
CA TX
Address
121 N. FIR STREET, SUITE DVENTURA, CA 93001
United States
Phone: 805-648-5300