Haussmann Financial Inc. (Lake Forest)

Name: Haussmann Financial Inc.
Address: 23201 Lake Center Drive, Lake Forest, CA, 92630
Telephone: 949-250-4973

Haussmann Financial Inc. is a large advisory firm based in Lake Forest. It manages $585.38 million of regulatory assets for 1,763 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, Arkansas, California, and 13 other states.

Haussmann Financial provides financial planning services, portfolio management for individuals and small businesses, selection of other advisers, publication of newsletters, and educational seminars and workshops. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Haussmann Financial: assets under management

The assets under management (AUM) of Haussmann Financial Inc. is $585.38 million. The firm's AUM has grown by 358% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $433.96 million in discretionary accounts and $151.42 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $304.75 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $446.67 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 90% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 6% of the firm’s portfolio. Investments in exchange traded securities form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Haussmann Financial Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Trudy Diane Haussmann serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Trudy Diane Haussmann is individuals with 1,210 clients and $394.07 million of assets under management. Among the 7 most similar advisory firms, Haussmann Financial has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $584.87 million for 1,378 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Haussmann Financial doesn't advise any private funds.

Careers at Haussmann Financial Inc.

The company employs 13 people that are either part- or full-time employees. 46 percent of the employees work as investment advisers or researchers. 6 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Trudy Diane Haussmann	President/chief compliance officer	1 Aug 1996	75% - 100%	1596890

Based in Lake Forest

The principal office where Haussmann Financial Inc. performs its advisory services is located at 23201 Lake Center Drive, Lake Forest, CA 92630, which is also the mailing address of the firm. An additional office of the firm is in Long Beach, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 949-250-4973 or by fax 949-251-0629. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at haussmannfinancial.com.