Auspicious Financial Planning provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.
Auspicious Financial Planning reports 193 clients. They include 109 individual clients and 84 high-net-worth individuals. Of its assets, 100.0% ($278M across 609 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $834M. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 56% | 14% |
| High-net-worth individuals | 44% | 86% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 109 | $37.8M | 13.6% | $347K |
| High-net-worth individuals | 84 | $240M | 86.4% | $2.86M |
| Total | 193 | $278M | 100% | $1.44M |
- Clients
- 109
- Regulatory AUM
- $37.8M
- AUM share
- 13.6%
- Avg. per client
- $347K
- Clients
- 84
- Regulatory AUM
- $240M
- AUM share
- 86.4%
- Avg. per client
- $2.86M
Total
- Clients
- 193
- Regulatory AUM
- $278M
- AUM share
- 100%
- Avg. per client
- $1.44M
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Auspicious Financial Planning charges 0.20%–0.80% a year for its Comprehensive Portfolio Management. The fee is billed in advance.
Fee details and sources
The Louis I. Dagen and Grace W. Chen Revocable Trust owns 75% or more of Auspicious Financial Planning and is in turn owned by Louis Dagen (50–75%) and Grace Chen (50–75%). The leadership team of Auspicious Financial Planning includes Chief Compliance Officer Louis Dagen. It has 2 employees, 1 of them in advisory roles.
Staff
- 2 employees
- 1 in advisory functions
- 1 state-registered rep
- Owns 75% or more of Auspicious Financial Planning, LLC
The Louis I. Dagen and Grace W. Chen Revocable Trust
Control person · since June 2018
- Owns 50% to 75% of The Louis I. Dagen and Grace W. Chen Revocable Trust
Louis Dagen
Control person · since October 2007
- Owns 50% to 75% of The Louis I. Dagen and Grace W. Chen Revocable Trust
Grace Chen
Control person · since October 2007
Auspicious Financial Planning’s regulatory assets grew from $217M (March 2021) to $278M (March 2026); clients fell from 277 to 193 and employees were 2 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $278M | 193 | 2 | 2 |
| Mar 2025March 2025 | $274M | 200 | 2 | 2 |
| Mar 2024March 2024 | $235M | 600 | 2 | 2 |
| Mar 2023March 2023 | $210M | 600 | 2 | 2 |
| Feb 2022February 2022 | $241M | 600 | 2 | 1 |
| Mar 2021March 2021 | $217M | 277 | 2 | 1 |
Besides its headquarters, Auspicious Financial Planning has 1 office (1 private residence, listed without an address), with 1 listed address in 1 state.
California · 1 listed address
- 2603 Camino Ramon, Suite 200, San RamonHQ
Contact and registration details
- Legal name
- Auspicious Financial Planning, LLC
- Headquarters
- 2603 Camino Ramon, Suite 200, San Ramon, CA 94583
- Website
- auspiciousfinancial.com
- Phone
- 925-355-1200
- SEC file
- 801-113980
- Founded
- 2018
- Structure
- California LLC
- Fiscal year end
- December
Auspicious Financial Planning’s named custodian for separately managed accounts is Charles Schwab ($278M). Auspicious Financial Planning does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $278M100%
At year end, Auspicious Financial Planning’s separately managed accounts were mostly in funds (80%) and cash (14%).
What the accounts hold
- Stocks6%
- Funds80%
- Cash14%
How many clients does Auspicious Financial Planning have?
Auspicious Financial Planning has 193 clients and manages $278 million for them, as of March 2026. They include 109 individual clients and 84 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Auspicious Financial Planning offer?
Auspicious Financial Planning provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Auspicious Financial Planning charge?
Auspicious Financial Planning charges 0.20%–0.80% a year for its Comprehensive Portfolio Management. The fee is billed in advance.
Source: FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE, filed 31 March 2026
Which custodians does Auspicious Financial Planning use?
Auspicious Financial Planning’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $278M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Auspicious Financial Planning have?
Auspicious Financial Planning has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Auspicious Financial Planning invest in?
At the end of its last fiscal year, Auspicious Financial Planning’s separately managed accounts held 80% registered funds (mutual funds, ETFs, BDCs), 14% cash and equivalents and 6% exchange-traded equities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Auspicious Financial Planning?
Auspicious Financial Planning is owned through a trust by Louis Dagen and Grace Chen. Its direct owner is the Louis I. Dagen and Grace W. Chen Revocable Trust (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Auspicious Financial Planning get paid?
Auspicious Financial Planning is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Auspicious Financial Planning?
Auspicious Financial Planning’s main office is at 2603 Camino Ramon, Suite 200, San Ramon, CA 94583. Its phone number is 925-355-1200. Its website is auspiciousfinancial.com.