Ostrofe Financial Consultants provides financial planning, portfolio management for individuals and small businesses, and selecting other managers. Financial planning was provided to 251–500 clients last fiscal year.
Ostrofe Financial Consultants reports 568 clients. They include 414 individual clients, 143 high-net-worth individuals, and 11 pension and profit-sharing plans. Of its assets, 100.0% ($386M across 1,625 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 73% | 28% |
| High-net-worth individuals | 25% | 66% |
| Pension and profit-sharing plans | 2% | 6% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 414 | $108M | 27.8% | $260K |
| High-net-worth individuals | 143 | $256M | 66.2% | $1.79M |
| Pension and profit-sharing plans | 11 | $23.1M | 6.0% | $2.1M |
| Total | 568 | $386M | 100% | $680K |
- Clients
- 414
- Regulatory AUM
- $108M
- AUM share
- 27.8%
- Avg. per client
- $260K
- Clients
- 143
- Regulatory AUM
- $256M
- AUM share
- 66.2%
- Avg. per client
- $1.79M
- Clients
- 11
- Regulatory AUM
- $23.1M
- AUM share
- 6.0%
- Avg. per client
- $2.1M
Total
- Clients
- 568
- Regulatory AUM
- $386M
- AUM share
- 100%
- Avg. per client
- $680K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Ostrofe Financial Consultants charges 1.00%–1.25% a year for its Investment management services. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial planning
- Financial planning beyond the investment management fee is billed by the hour, on an hourly fee schedule provided before the engagement.
Seth Leishman owns 75% or more of Ostrofe Financial Consultants. The leadership team of Ostrofe Financial Consultants includes President Seth Leishman and Chief Compliance Officer Patricia Lum. It has 9 employees, 3 of them in advisory roles.
Leadership
- Seth LeishmanPresident
- Patricia LumChief Compliance Officer
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
- Frederick Ayer Fisher
- Nathan Thomas Leishman
- Seth Tyler Leishman
Staff
- 9 employees
- 3 in advisory functions
- 3 state-registered reps
- 3 broker-dealer reps
- 2 insurance agents
- Owns 75% or more of Ostrofe Financial Consultants Inc
Seth Leishman
Control person · since July 2018
Ostrofe Financial Consultants’ regulatory assets grew 1.6× from $243M (June 2021) to $386M (February 2026); clients rose from 441 to 568 and employees fell from 10 to 9.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| February 2026 | $386M | 568 | 9 | 1 |
| February 2025 | $316M | 506 | 10 | 1 |
| February 2024 | $262M | 480 | 10 | 1 |
| February 2023 | $251M | 469 | 10 | 1 |
| February 2022 | $282M | 455 | 10 | 1 |
| June 2021 | $243M | 441 | 10 | 1 |
Besides its headquarters, Ostrofe Financial Consultants has 0 offices, with 1 listed address in California.
California · 1 listed address
- 420 Sierra College Drive, Suite 200, Grass ValleyHQ
Contact and registration details
- Legal name
- Ostrofe Financial Consultants Inc
- Headquarters
- 420 Sierra College Drive, Suite 200, Grass Valley, CA 95945
- Website
- ostrofefinancial.com
- Phone
- 530-273-4425
- SEC file
- 801-34048
- Structure
- California corporation
- Fiscal year end
- December
Ostrofe Financial Consultants uses Pershing ($15.9M) as custodian for its separately managed accounts. Ostrofe Financial Consultants does not have custody of client assets.
- PershingPershing LLC · Jersey City, NJ · $15.9M100%
At year end, Ostrofe Financial Consultants’ separately managed accounts were mostly in stocks (65%) and bonds (20%).
What the accounts hold
- Stocks65%
- Funds5%
- Bonds20%
- U.S. government and agency bonds10%
- State and local bonds5%
- Investment grade corporate bonds5%
- Cash10%
How many clients does Ostrofe Financial Consultants have?
Ostrofe Financial Consultants has 568 clients and manages $386 million for them, as of February 2026. They include 414 individual clients, 143 high-net-worth individuals, and 11 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 3 February 2026
What services does Ostrofe Financial Consultants offer?
Ostrofe Financial Consultants provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Ostrofe Financial Consultants charge?
Ostrofe Financial Consultants charges 1.00%–1.25% a year for its Investment management services. The fee is billed in advance and is negotiable.
Which custodians does Ostrofe Financial Consultants use?
Ostrofe Financial Consultants’ separately managed account assets are held at Pershing LLC (Jersey City, NJ), with $15.9M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 February 2026
How many financial advisors does Ostrofe Financial Consultants have?
Ostrofe Financial Consultants has 3 investment adviser representatives registered with state securities authorities, out of 9 employees, and 3 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 2 employees are 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 Ostrofe Financial Consultants invest in?
At the end of its last fiscal year, Ostrofe Financial Consultants’ separately managed accounts held 65% exchange-traded equities, 10% U.S. government and agency bonds, 10% cash and equivalents, 5% state and local bonds, 5% investment grade corporate bonds and 5% pooled vehicles (private funds and similar).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Ostrofe Financial Consultants?
Ostrofe Financial Consultants’ direct owner is Seth Leishman (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 3 February 2026
How does Ostrofe Financial Consultants get paid?
Ostrofe Financial Consultants 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 Ostrofe Financial Consultants?
Ostrofe Financial Consultants’ main office is at 420 Sierra College Drive, Suite 200, Grass Valley, CA 95945. Its phone number is 530-273-4425. Its website is ostrofefinancial.com.