Fee-only adviser · Seal Beach, CA
Fineberg Financial Management LLC
Fineberg Financial Management LLC is a fee-only investment adviser registered with the securities regulator of California, with its main office in Seal Beach, California. On its latest Form ADV, filed March 20, 2026, it reports $40M in regulatory assets under management, 72 individual clients and 1 employee who gives investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | State-registered: California |
|---|---|
| Firm CRD number | 322268 · SEC file 801-126608 |
| Office | 3020 Old Ranch Parkway Suite 300 Seal Beach, CA 90740 |
| Phone | (562) 446-0028 |
| Website | www.finebergfinancial.com |
| Regulatory assets under management | $40M |
| Individual clients | 15 non-high-net-worth, 57 high-net-worth |
| Financial planning clients | 1-10 |
| How it charges | Percentage of assets, Hourly, Fixed fee |
| Services | Financial planning, Portfolio management, Pension consulting, Selection of other advisers |
| Employees | 3 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | March 20, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It offers hourly or fixed-fee arrangements, so you may be able to pay for a plan without handing over your investments.
- It also charges a percentage of assets managed for ongoing investment management.
- Most of its individual clients are high-net-worth, which on Form ADV means they meet the SEC’s qualified-client or qualified-purchaser test: broadly, more than $1 million managed by the adviser or a net worth above $2 million, with the thresholds indexed for inflation.
- It provides financial planning services, not only portfolio management.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
Other fee-only advisers in Seal Beach
- My Portfolio Guide, LLC $201M
- KTF Investments, LLC $700M
- JST Investment Consulting $27M
See all 4 fee-only advisers in Seal Beach →
Nearby
- Los Alamitos 2 firms
- Long Beach 8 firms
- Huntington Beach 8 firms
- Westminster 2 firms
- Cerritos 1 firm
- Costa Mesa 8 firms
- Santa Ana 5 firms
- Carson 1 firm
Comparing several firms? Tell us what you need and we will suggest fee-only advisers that fit. Work at Fineberg Financial Management LLC? Update this listing.