Ambastha Financial LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Ambastha Financial LLC provides discretionary investment management and advisory services primarily to high‑net‑worth individuals and small businesses. The firm works with clients on investment strategy, asset allocation, security selection, and periodic portfolio monitoring, and also offers custom consulting engagements and ad hoc due diligence requests.
The firm's investment approach combines fundamental analysis with modern portfolio theory and uses both active and passive strategies to meet client objectives. In practice it recommends equities and options/derivatives for a majority of clients and employs a range of trading techniques — including long‑ and short‑term trading, margin transactions, and covered, uncovered, and spread options strategies — while providing quarterly reporting and discretionary trade authority.
Compared with many peers, Ambastha Financial is small and concentrated: it manages roughly $6 million for a very small number of client relationships, which produces an unusually low client count per advisor. It also stands out for its use of derivatives within separately managed accounts and for offering educational seminars and published materials (seminars are presented as purely educational and published materials may be sold or distributed).
Client services
Expertise
Fee options
$500 to $2,000 per request for portfolio analysis and investment recommendations
$0 - $1,000,000: 1.00% annually (0.25% per quarter) $1,000,001+: 0.50% annually (0.125% per quarter)
$100 to $400 per hour for customized financial/investment advice
Main office
Mountain View CA
Advisors at this office
2
Most active in
California · Louisiana · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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.
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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.
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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
Advisors at this firm
Anil A
Series 65
Mountain View, CA
Ambastha Financial LLC
Anil Ambastha is a financial advisor at Ambastha Financial LLC with six years of industry experience. He holds a Series 65 designation and has a background in the oil and gas industry, currently serving as a Chevron Fellow and Senior Principal Reservoir Engineer. Ambastha Financial LLC provides discretionary investment management and advisory services primarily to high-net-worth individuals and small businesses. The firm combines fundamental analysis with modern portfolio theory, employing both active and passive strategies, including the use of derivatives, to meet client objectives.
Kuldip A
Series 65
Mountain View, CA
Ambastha Financial LLC
Kuldip Ambastha is a financial advisor at Ambastha Financial LLC with six years of industry experience. He holds a Series 65 designation and previously worked at Aspiriant from 2015 to 2018. Ambastha Financial LLC provides discretionary investment management and advisory services primarily to high-net-worth individuals and small businesses, combining fundamental analysis with modern portfolio theory and employing both active and passive strategies. The firm manages a concentrated portfolio of roughly $6 million and is notable for its use of derivatives and educational seminars.
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