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- Custodian
- Charles Schwab & Company
- Clients
- Retail and Institutional
- Platforms
- --
- Established Date
- 01-07-2021
- Office Locations
- 1
Office Locations
About 77 Financial Group
77 Financial Group is an RIA based in Carlsbad, CA serving retail and institutional clients with financial planning and portfolio construction, including estate planning, insurance, and business succession support. The firm’s managed accounts lean heavily on ETFs, complemented by cash and U.S. government/agency bonds, with themes that include socially responsible investing and annuities. Custody includes Charles Schwab and LPL.
Team overview
Insights
Asset Classes
Client Personas
Custodian
Investment Themes
Investment Vehicles
Services
Owner & Executives
James Alan Walters
Chief Compliance Officer, Chief Executive Officer, Investment Executive
- CRD
- #6652903
- Ownership
- 50% but less than 75%
BRANDON WEST
Owner
- CRD
- #7898446
- Ownership
- 50% but less than 75%
Showing 2 of 2 owners & executives
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JACOB ROBERT ROGERS
--
- CRD
- #8172532
Showing 1 of 3 contacts
Unlock allAssets Under Management
No AUM history available
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $27,078,000 | -- |
| Non-Discretionary | $0 | -- |
| Total | $27,078,000 | -- |
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Separately Managed Accounts
Total SMA Asset: $27,078,000
| Asset class | Assets | Assets % |
|---|---|---|
| Equity - Exchange | $1,699,103,430 | 28.0% |
| Derivatives | $958,779,793 | 15.8% |
| U.S. Government/Agency | $807,074,129 | 13.3% |
| Cash | $2,603,269,185 | 42.9% |
| Total | $6,068,226,537 | 100.0% |