Giving Tree Wealth Advisors
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$133,994,275
Clients
217
Advisors
2
of 2 employees
About
Giving Tree Wealth Advisors is a two-advisor firm managing roughly $138 million for about 217 clients, serving individuals (including high-net-worth clients), qualified retirement plans, charitable institutions, foundations, and endowments. The firm offers discretionary portfolio management, comprehensive and hourly financial planning, and limited-scope ERISA 3(21) fiduciary services for retirement plans.
Portfolios are implemented using model-based asset allocations with institutional no-load mutual funds, low-cost ETFs, separately managed accounts and third-party money managers accessed through custodial platforms (Axos MMX and SEI); accounts are monitored weekly and rebalanced at least quarterly or when allocations drift more than about 5%. The firm’s platform choices include SMA sleeves and alternative strategies, tiered AUM fee schedules across custodial programs, and it generally applies a combined $500,000 minimum for investment-management engagements.
Notable distinctions include that one or more advisors maintain outside broker-dealer registrations and insurance licenses and the firm discloses receipt of commissions and insurance compensation, which the brochure identifies as a potential conflict mitigated by disclosures and fiduciary procedures. The firm is jointly owned by two corporate entities, requires use of Axos or SEI custodians for managed accounts, and explicitly integrates ERISA plan advisory work with access to third-party manager solutions—features less common among similarly supported firms.
Client services
Occupation focus
Fee options
$0 - $3,000,000: 1.00% annually (Portfolio Management - Axos Advisory Services and SEI Investments; with tiers) $3,000,000.01 - $5,000,000: 0.75% annually $5,000,000.01 - $10,000,000: 0.50% annually $10,000,000.01+: 0.25% annually $0 - $10,000,000: 0.75% annually (ERISA Plan Services) $10,000,000.01 - $20,000,000: 0.50% annually $20,000,000.01+: 0.25% annually $0 - $2,999,999.99: 1.00% annually (American Funds Service Company) $3,000,000 - $4,999,999.99: 0.75% annually $5,000,000 - $9,999,999.99: 0.50% annually $10,000,000++: 0.25% annually
Investment Advisor Representatives receive commissions as registered representatives of broker-dealer and insurance agents
Financial planning and general consultation charged at $400 per hour
Account minimum: $500,000 Minimum fee: Financial planning minimum fee of $2,000 (5 hours at $400/hour) Fee-only: Financial planning fees at $400 per hour; Hourly consultation at $400 per hour
Main office
2603 Camino Ramon 200
San Ramon CA 94583
Advisors at this office
2
Most active in
California · Nebraska · Nevada · 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.
Is not active or affiliated with:
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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.
Advisors at this firm
Nicholas V
Series 63, Series 65
San Ramon, CA
Giving Tree Wealth Advisors
Nicholas Ventimiglio is a financial advisor at Giving Tree Wealth Advisors with 24 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at firms including Fortune Financial Services, Inc., and First Allied Securities, Inc. He is a co-founder of a financial software company called Trade Wrangler, Inc., which is currently in development. Giving Tree Wealth Advisors is a two-advisor firm managing approximately $138 million for around 217 clients, including individuals, qualified retirement plans, and charitable institutions. The firm employs model-based asset allocations with a range of investment vehicles and offers discretionary portfolio management, financial planning, and ERISA 3(21) fiduciary services.
John K
Series 63, Series 65
San Ramon, CA
Giving Tree Wealth Advisors
John Kim is a financial advisor at Giving Tree Wealth Advisors with 33 years of industry experience. He holds Series 63 and Series 65 licenses and has worked previously at LPL Financial and operated Kim Financial Advisors, Inc. as well as a sole proprietorship. Giving Tree Wealth Advisors is a two-advisor firm managing approximately $138 million for individuals, qualified retirement plans, and charitable institutions. The firm employs model-based asset allocations using institutional no-load mutual funds, low-cost ETFs, and third-party managers, providing discretionary portfolio management, financial planning, and ERISA 3(21) fiduciary services.
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