Pacifica Wealth Advisors, Inc

CRD#136054
Investment Advisor Firm

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Overview

Pacifica Wealth Advisors, Inc is an advisory company that has its headquarters in Irvine, California. The firm oversees $131.6 million in assets under management across 49 client accounts, placing it in the mid-tier of financial advisory firms in the nation by assets under management (AUM). Pacifica Wealth Advisors, Inc has a small team of five employees, including two financial advisors. Pacifica Wealth Advisors, Inc is not a registered broker-dealer, signifying that the company cannot buy and sell securities for its own accounts as well as its customers' and instead is required to go through a broker-dealer company to do so. Securities are exchangable financial assets like stocks, bonds and options.

Pacifica Wealth Advisors, Inc oversees the majority of the firm's client assets on a discretionary basis. Discretionary management is a structure in which buy and sell choices for the client's account are made by an investment advisor without needing to seek client authorization. The firm also manages two non-discretionary accounts with a total of $12.3 million in AUM. The firm's typical account size is $2.7 million. An average financial advisor at Pacifica Wealth Advisors, Inc administers about 25 client accounts, placing it among the more individualized advisor firms in the country.

The company's main office is at 9870 Research Drive, Irvine, California 92618. Pacifica Wealth Advisors, Inc is permitted to provide services to investors across a number of states, including California and Texas.

Assets Under Management

$131.6 million

Number of Advisors

2

Disclosures

No

Office Location

9870 Research Drive
Irvine, CA 92618

Pacifica Wealth Advisors, Inc by the Numbers

Total Assets Under Management

$131.6 million

National Average: $3.7 billion
Total Number of Employees

5

National Average: 29
Total Number of Accounts

49

National Average: 2,073
Average Account Size

$2.7 million

National Average: $1.8 million

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Products and Services

Pacifica Wealth Advisors, Inc offers multiple services, which can consist of financial planning services, portfolio management for individuals and small businesses and portfolio management for institutional clients. In the last financial year, the company provided financial planning services to 1-10 of its customers. The company is involved in selling products or offering services aside from investment advisory services to its clients.

Core Advisor Services

  • Offered by 45% 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.

  • Offered by 62% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    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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Fee Structure

Fees charged by financial advisors typically are based on which service is provided. However, fees charged by the firm likely include some combination of the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the firm.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 35% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

Pacifica Wealth Advisors, Inc works with retail investors, high net worth investors and pension plans. Out of its 49 clients, Pacifica Wealth Advisors, Inc's largest client by number of accounts is high net worth investors, although it also caters to 42 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its clients reside abroad.

  • High-Net-Worth Individuals* - 85.71%
  • Other Individuals - 8.16%
  • Corporations - 6.12%
  • 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

Pacifica Wealth Advisors, Inc does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Pacifica Wealth Advisors, Inc

Robert Pagliarini
Mission Viejo, CA

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This content was compiled from the SEC and FINRA