Concentrum Wealth Management, LLC (San Jose)


Concentrum Wealth Management, LLC is a large advisory firm based in San Jose. It manages $162.16 million of regulatory assets for 645 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of California and Texas.

Concentrum Wealth Management provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, and radius online. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Concentrum Wealth Management: assets under management

The assets under management (AUM) of Concentrum Wealth Management, LLC is $162.16 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 76% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $162.16 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $251.42 thousand each.
Concentrum Wealth Management has custody of $162.16 million in cash and securities for 194 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 43% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 17% of the firm’s portfolio. Investments in pooled investment vehicles form 16% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Concentrum Wealth Management, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Concentrum Wealth Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Concentrum Wealth Management is high net worth individuals with 36 clients and $104.18 million of assets under management. Among the 8 most similar advisory firms, Concentrum Wealth Management has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $152.73 million for 196 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Concentrum Wealth Management doesn't advise any private funds.

Careers at Concentrum Wealth Management, LLC

The company employs 7 people that are either part- or full-time employees. 29 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 receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Jeffery Eric Fong Managing member & chief compliance officer 1 Mar 2013 50% - 75% 2472690
Jay Christopher Fong Managing member 1 Mar 2013 50% - 75% 3242313
Jeffery Eric Fong Managing member & chief compliance officer 1 Apr 2013 50% - 75% 2472690
Jay Christopher Fong Managing member 1 Apr 2013 50% - 75% 3242313
Trang D Nguyen Chief compliance officer 1 Aug 2015 Other 6215199

Based in San Jose

The principal office where Concentrum Wealth Management, LLC performs its advisory services is located at 353 Piercy Road, San Jose, CA 95138, 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 408-840-4030. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at concentrumwealth.com.