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HAUSSMANN FINANCIAL INC.

LAKE FOREST, CA · CRD 110747 · IAPD ↗ · 949-250-4973

$0Regulatory AUM
4Advisory reps
5Employees
0Clients
0Planning clients
0Private funds
24States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
May 2025 — HAUSSMANN FINANCIAL INC. (LAKE FOREST, CA) left the SEC roster (was $0 RAUM, 4 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
50
March 2025 — HAUSSMANN FINANCIAL INC. shrank from 7 to 4 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
45
February 2024 — HAUSSMANN FINANCIAL INC. notice-filed in OK.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.