C
C Financial and Tax Associates
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$10,872,492
Clients
49
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
49
HighAverage account size
$221,888
About
C Financial and Tax Associates works primarily with individual clients and a range of other account types (trusts, estates, small businesses, charitable organizations and retirement plans) offering financial planning, tax preparation, and advisory introductions. The firm provides hourly financial planning focused on retirement and business planning and prepares individual and business tax returns as a separate service.
The firm does not generally provide direct portfolio management for individual accounts; instead it assists clients in identifying and implementing asset allocation and selects third‑party money managers (using platforms such as SEI, Orion, and PFG) who handle portfolio discretion and trade execution. Advisory relationships are typically non‑discretionary from the firm’s perspective and the firm coordinates and reviews manager performance while providing investment advice and an investment policy statement when engaged.
Distinctive features compared with many independent, solo advisers include that the firm’s principal also operates as a registered representative of a broker‑dealer and as a licensed insurance agent, and the firm discloses the sale of insurance and securities products and tax services as separate revenue sources. These multiple roles — referral to third‑party managers combined with commissionable insurance and brokerage activities and in‑house tax preparation — are highlighted in the brochure and are disclosed as potential conflicts of interest the firm seeks to manage.
Client services
Financial planning
Selection of other advisers
Expertise
General retirement planning
Income planning
General tax planning
Life insurance needs analysis
College savings (529s, UTMA, etc.)
Fee options
$100,000 - $250,000: 2.00% $250,001 - $1,000,000: 1.50% $1,000,001 - $2,000,000: 1.25% $2,000,001 - $3,000,000: 1.00% $3,000,001 - $5,000,000: 0.75% $5,000,001+: 0.50% $0 - $50,000: 0.45% (Orion administrative fee) $50,001 - $100,000: 0.35% (Orion administrative fee) $100,001 - $250,000: 0.20% (Orion administrative fee) $250,001 - $500,000: 0.175% (Orion administrative fee) $500,001+: 0.15% (Orion administrative fee) $0 - $500,000: 1.50% (PFG Institutional Class direct management fee) $500,001 - $3,000,000: 1.125% (PFG Institutional Class direct management fee) $3,000,001 - $5,000,000: 0.80% (PFG Institutional Class direct management fee) $5,000,001 - $10,000,000: 0.65% (PFG Institutional Class direct management fee) $10,000,001+: Subject to negotiation (PFG Institutional Class direct management fee) $0 - $500,000: 2.00% (PFG Variable Annuity/Universal Life direct annual management fee) $500,001 - $3,000,000: 1.50% (PFG Variable Annuity/Universal Life direct annual management fee) $3,000,001 - $5,000,000: 1.00% (PFG Variable Annuity/Universal Life direct annual management fee) $5,000,001 - $10,000,000: 0.80% (PFG Variable Annuity/Universal Life direct annual management fee) $10,000,001+: Subject to negotiation (PFG Variable Annuity/Universal Life direct annual management fee)
Advisors and firm receive commissions from insurance product sales and registered securities products
$250 per hour for financial planning and consulting services
Fee-only: $250 per hour for financial planning and consulting services
Main office location
C Financial and Tax Associates
6373 Brockton Ave.
Riverside CA 92506, United States
Number of offices
1
Most active in
C Financial and Tax Associates has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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