← Tributary

HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC.

VENTURA, CA · CRD 134563 · IAPD ↗ · hoffmanwm.com · 805-648-5300

$25.1MRegulatory AUM
2Advisory reps
3Employees
0Clients
1-10Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
October 2024 — HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC. (VENTURA, CA) left the SEC roster (was $25.1M RAUM, 2 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
45
April 2024 — HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC. reported RAUM down 73% ($93.9M -> $25.1M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions

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