Pacific Park Financial, Inc. (Ladera Ranch)

Name: Pacific Park Financial, Inc.
Address: 6 Gilly Flower Street, Ladera Ranch, CA, 92694
Telephone: 949-600-6294

Pacific Park Financial, Inc. is a large advisory firm based in Ladera Ranch. It manages $135.56 million of regulatory assets for 669 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of California, Florida, Illinois, New York, and Texas.

Pacific Park Financial provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Pacific Park Financial: assets under management

The assets under management (AUM) of Pacific Park Financial, Inc. is $135.56 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 257% since the beginning of its operation, and $549 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $135.56 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $202.63 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 67% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 22% of the firm’s portfolio. Investments in investment grade corporate bonds form 6% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pacific Park Financial, Inc. for their services and products based on a percentage of assets under management and hourly charges. 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 Arthur Brett Hagan serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Arthur Brett Hagan is high net worth individuals with 42 clients and $79.03 million of assets under management. Among the 9 most similar advisory firms, Pacific Park Financial has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $134.86 million for 311 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Pacific Park Financial doesn't advise any private funds.

Careers at Pacific Park Financial, Inc.

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 2 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.

Arthur Brett Hagan has been acting as President since 1 Sep 2002. Robert Allen Charette joined the executive team most recently as the Vp, Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gary Airen Gordon	President, secretary	1 Sep 2002	75% - 100%	4572155
Arthur Brett Hagan	Director	1 Sep 2002	Other	4587535
Benjamin Ross Putman	Vice president	1 Oct 2003	50% - 75%	2310648
Branden Robert Frazier	Chief compliance officer	1 Mar 2005	Other	4938202
Branden Robert Frazier	Vice president, chief compliance officer	1 Apr 2005	Other	4938202
Robert Allen Charette	Vp, chief compliance officer	1 Feb 2012	Other	5405813

Based in Ladera Ranch

The principal office where Pacific Park Financial, Inc. performs its advisory services is located at 6 Gilly Flower Street, Ladera Ranch, CA 92694, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 949-600-6294 or by fax 949-600-6292. The normal business hours are 8:00 a.m. - 4:00 p.m. on Monday - Friday. You can find more information about the New York firm at mypacificpark.com.