{"url":"https://nivawealth.com/firms/auspicious-financial-planning-297962","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/297962","regulatoryAum":277960000,"crd":"297962","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2176866","suffix":null,"lastName":"DAGEN","firstName":"LOUIS","middleName":"ISAAC"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-12","regulatoryAum":216813633,"clients":277,"employees":2,"offices":1},{"filedOn":"2022-02-25","regulatoryAum":241000000,"clients":600,"employees":2,"offices":1},{"filedOn":"2023-03-24","regulatoryAum":210000000,"clients":600,"employees":2,"offices":2},{"filedOn":"2024-03-21","regulatoryAum":235120000,"clients":600,"employees":2,"offices":2},{"filedOn":"2025-03-12","regulatoryAum":274050000,"clients":200,"employees":2,"offices":2},{"filedOn":"2026-03-31","regulatoryAum":277960000,"clients":193,"employees":2,"offices":2}],"secFileNumber":"801-113980","legalName":"Auspicious Financial Planning, LLC","displayName":"Auspicious Financial Planning","slug":"auspicious-financial-planning-297962","website":"https://auspiciousfinancial.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/297962/16ad2d6053688981-r1.webp","tone":"dark","width":376,"height":200,"sourceUrl":"https://auspiciousfinancial.com/","sourceLabel":"Auspicious Financial Planning, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2018","organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2603 Camino Ramon, Suite 200","city":"San Ramon","state":"CA","stateName":"California","country":"United States","postalCode":"94583"},"tradeNames":[],"registration":{"secApproved":"14 September 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1440207.2538860103,"staff":{"employees":2,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":277960000,"discretionary":277960000,"discretionaryAccounts":609,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":833880000,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":109,"regulatoryAum":37800000},{"label":"High-net-worth individuals","clients":84,"regulatoryAum":240160000}],"feePrograms":[{"role":"main","program":"Comprehensive Portfolio Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035612","versionId":1035612,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-31","documentName":"FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE","fee_rate_low":0.2,"fee_rate_high":0.8,"fee_negotiable":null,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T10:30:06.423183+00:00","documents":[{"name":"FORM ADV PART 2A - FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035613","versionId":1035613,"submittedOn":"2026-03-31"},{"name":"FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035612","versionId":1035612,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":277960000}],"custodyNote":"Auspicious Financial Planning does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Louis Dagen","title":"Chief Compliance Officer","crd":"2176866"}],"ownership":[{"label":"The Louis I. Dagen and Grace W. Chen Revocable Trust","detail":"Managing member in the 75% or more ownership band and a control person, since June 2018."},{"label":"Louis Dagen","detail":"Indirect owner: a trustee of The Louis I. Dagen and Grace W. Chen Revocable Trust in the 50% to 75% band and a control person, since October 2007.","parent":"The Louis I. Dagen and Grace W. Chen Revocable Trust"},{"label":"Grace Chen","detail":"Indirect owner: a trustee of The Louis I. Dagen and Grace W. Chen Revocable Trust in the 50% to 75% band and a control person, since October 2007.","parent":"The Louis I. Dagen and Grace W. Chen Revocable Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"2603 Camino Ramon, Suite 200","city":"San Ramon","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"925-355-1200","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":80},{"label":"Cash and cash equivalents","percent":14}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/297962/PDF/297962.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035612","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Auspicious Financial Planning have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Auspicious Financial Planning offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Auspicious Financial Planning charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Auspicious Financial Planning use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Auspicious Financial Planning have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Auspicious Financial Planning invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Auspicious Financial Planning?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Auspicious Financial Planning get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Auspicious Financial Planning?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}