Tao Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$14,169,992
This total excludes 19 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
73
14% 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
73
Very HighAverage account size
$194,109
About
Tao Financial provides investment advisory and retirement-plan services to corporate plan sponsors, pension and profit‑sharing plans, and individual clients. Its offerings include plan‑level consulting and investment management as well as participant‑level advice and non‑investment support such as education and enrollment services.
The firm serves in a fiduciary capacity and may act on a discretionary (ERISA §3(38)) or non‑discretionary (ERISA §3(21)) basis, delivering due diligence, investment policy statement drafting, QDIA selection, manager and recordkeeper assessments, and ongoing monitoring. Its investment work combines modern portfolio theory and a Core+Satellite approach with a mix of active and passive strategies, scenario analysis and portfolio stress testing, and attention to tax‑conscious options.
What is noteworthy is the firm’s explicit focus on pension consulting and trustee education alongside routine plan services, including documented quarterly due‑diligence reporting and participant workshops—offerings less common among independent advisors of this size. The brochure also discloses that the firm’s principal holds advanced professional credentials (CFA and CFP) and maintains licensure to offer certain insurance products, with any related conflicts to be disclosed in advance.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Educational seminars or workshops
Expertise
Retirement plans for business owners (SEP, solo 401k)
Retirement withdrawal strategies
General retirement planning
Active portfolio management
Passive / index investing
Occupation focus
Founder/Business Owner
Fee options
Fixed fees typically range from $3,000 up to $40,000 for more extensive engagements; may also charge fixed or hourly project fees for specific services such as recordkeeper/TPA benchmarking
$0 - varies: Starts at 1.00% for smaller/start-up plans higher asset levels+: Starts at 0.50% and reduces based on plan size and scope of services
Additional hourly fees may apply for administrative support services; specifics vary based on plan size and scope
Minimum fee: Fixed (retainer) fees from $3,000 up to $40,000 for more extensive engagements
Main office location
Tao Financial
Orlando FL, United States
Number of offices
1
Most active in
Tao Financial has reported serving >5 clients in these states in the last 12 months.
Florida · Louisiana · Texas
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 not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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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.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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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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