Dba Seaside Financial & Insurance Services
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Overview
Dba Seaside Financial & Insurance Services is a financial advisory company headquartered in Carlsbad, California. Dba Seaside Financial & Insurance Services administers $117.4 million in total assets across 780 accounts, placing it in the mid-tier of financial advisory firms in the nation by assets under management (AUM). The company has a small team, including 6 financial advisors. Dba Seaside Financial & Insurance Services does not act as a registered broker-dealer, signifying that the advisor is not able to buy and sell securities for its clients' and own accounts and instead has to go through a broker-dealer company to do so. Securities are defined as tradable financial assets such as bonds, stocks and options.
Dba Seaside Financial & Insurance Services oversees zero of the company's accounts in a discretionary manner. Discretionary management signifies that a portfolio manager makes transaction judgments without needing to seek client approval. The company also administers 780 non-discretionary accounts with a total of $117.4 million in assets. The firm's average account size is $150,495. The average financial advisor at Dba Seaside Financial & Insurance Services oversees about 130 client accounts.
The company's main office is at 2888 Loker Ave East, Carlsbad, California 92010. The company is permitted to serve customers throughout a few states, including California, Connecticut, Nevada, New York, Texas and Washington.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Dba Seaside Financial & Insurance Services by the Numbers

$117.4 million

6

780

$150.5 thousand
Products and Services
Dba Seaside Financial & Insurance Services provides a variety of financial services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services and educational seminars. In the prior fiscal year, it provided financial planning services to 251-500 of its customers. The firm is engaged in selling products or offering services different than investment advice to its customers. The company also has a number of financial industry affiliations, including with a pension consultant.
Core Advisor Services
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Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Offered by 6% of firms
Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
A financial advisor's fees largely are based on the services provided. However, fee types charged by the firm can include some blend of the following fee structures: asset-based, hourly or fixed. Dba Seaside Financial & Insurance Services does participate in a wrap fee program, in which the company offers a service bundle for a comprehensive fee.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 21% of firms
Hourly
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Offered by 32% of firms
Fixed
Unavailable
Types of Clients
The firm caters to retail investors and high net worth investors. Out of its 780 clients, Dba Seaside Financial & Insurance Services's largest client group by number of accounts is retail investors, although it also manages money for 34 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 under management or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its clients are represented by non-U.S. persons.
- High-Net-Worth Individuals* - 27.64%
- Other Individuals - 72.36%
- Corporations - 0%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Dba Seaside Financial & Insurance Services does not have any disclosures.
Please visit its Form ADV for more details.
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