Laguna Capital Management, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$86,094,188
Clients
104
Advisors
3
across 2 offices
About
Laguna Capital Management primarily serves individual and high‑net‑worth clients, offering discretionary asset management, written financial plans, and retirement‑plan consulting. The firm reports roughly $97.5 million in regulatory assets under management across about 104 client relationships and three advisors, and it provides annuity analysis and implementation through a third‑party platform that can include management of variable annuity sub‑accounts.
Portfolios are individualized and may include stocks, bonds, mutual funds, ETFs, options and other public and private securities, with ongoing monitoring and rebalancing. The brochure discloses that the firm employs active techniques — including margin borrowing, short sales, option writing, leveraged ETFs and other derivatives — and that it uses borrowing and derivatives within separately managed accounts, features it explicitly notes and monitors.
Distinctive aspects called out in the brochure include the firm’s annuity conversion and sub‑account management capability via a third‑party platform and a recent (since March 2026) move to utilize third‑party money managers/sub‑advisers; Laguna describes formal due‑diligence and ongoing supervisory reviews of those managers. The firm also identifies a list of excluded products (for example, cryptocurrencies and several specified private offerings) and documents its fiduciary and custody procedures.
Client services
Expertise
Fee options
Retirement Plan Consulting may be charged on a flat fee basis, hourly, or as a percentage of plan assets (amount varies by engagement)
Hourly financial planning and consulting fees up to $350/hour
Minimum fee: Minimum fee of $350 for Financial Planning or Consulting Engagements Fee-only: Financial Planning and Consulting charged on hourly basis up to $350/hour
Main office
See office1225 Coast Village Road, Suite G
Santa Barbara CA 93108
Advisors at this office
2
Offices (2)
Most active in
California · Nebraska · Oklahoma
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
Joshua K
Series 63, Series 65
Santa Barbara, CA
Laguna Capital Management, Inc.
Joshua Keith is a financial advisor at Laguna Capital Management, Inc. in Santa Barbara, CA, holding Series 63 and Series 65 licenses with 10 years of industry experience. He has been with Laguna Capital Management since 2015. Laguna Capital Management primarily serves individual and high-net-worth clients, offering discretionary asset management, written financial plans, and retirement-plan consulting. The firm employs active investment techniques and provides annuity analysis and sub-account management through a third-party platform.
Robert K
Series 63
Santa Barbara, CA
Laguna Capital Management, Inc.
Robert Keith is a financial advisor at Laguna Capital Management, Inc. with 52 years of industry experience. He holds a Series 63 designation and has worked at Purshe Kaplan Sterling Investments and managed the Keith Limited Family Partnership. His outside activities include serving as a member of Pneuma Partners LLC, a passive special purpose investment vehicle. Laguna Capital Management primarily serves individual and high-net-worth clients, offering discretionary asset management, written financial plans, and retirement-plan consulting. The firm employs active investment techniques and provides annuity analysis and management through a third-party platform.
Jonathan K
CFP®, Series 66
Jenks, OK
Laguna Capital Management, Inc.
Jonathan Keith is a CFP® with 14 years of industry experience, currently serving as an advisor at Laguna Capital Management, Inc. since 2015. Prior to this, he worked for three years at LPL Financial. Laguna Capital Management serves individual and high-net-worth clients, providing discretionary asset management, written financial plans, and retirement-plan consulting. The firm manages approximately $97.5 million in regulatory assets across 104 client relationships and employs active investment techniques including margin borrowing, short sales, option writing, and derivatives.
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