DES Financial Group, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$34,043,251
Clients
73
Advisors
1
of 1 employees
About
DES Financial Group provides discretionary investment management and financial planning primarily for individual and high‑net‑worth clients, managing roughly $34.1 million across its client accounts. Services include portfolio construction using stocks, bonds, ETFs, options, mutual funds and other public and private investments, along with written financial plans, hourly consultations, or fixed‑fee planning projects.
The firm designs client portfolios based on stated goals, risk tolerance and time horizon, conducts periodic reviews and rebalances, and uses outside research sources to inform investment decisions. Custody and execution are generally conducted through LPL Financial, and the firm discloses use of strategies such as options, short sales and alternative investments where appropriate.
What is distinctive about the firm is that its advisory practice is linked with broker‑dealer registration and insurance licensing: representatives are registered with LPL Financial and are licensed insurance agents, which allows the sale of commissionable securities and insurance products and the receipt of related compensation and trail fees. The brochure discloses potential conflicts from those activities, describes the firm’s Code of Ethics and supervisory controls, and notes custodial procedures (including standing letters of instruction and receipt of certain non‑soft‑dollar support from LPL) that differ from many independent advisory firms.
Client services
Expertise
Fee options
Fixed fees for financial planning projects typically ranging from $1,500 to $5,000.
Representatives may accept commissions from securities transactions including distribution or service ("trail") fees from mutual funds.
$300 per hour for financial planning services.
Main office
3000 East Birch Street, Suite 101
Brea CA 92821
Advisors at this office
1
Most active in
California · 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 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:
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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
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