Tustin, CA Office

Seamount Financial Group serves individual clients, including high-net-worth households, as well as pension and profit‑sharing plans, offering discretionary wealth management, stand‑alone financial planning, and pension consulting. The firm reports managing approximately $745 million in discretionary assets through a team of six advisors and serves roughly 485 client relationships.

Seamount typically constructs customized portfolios and manages accounts on a discretionary basis through LPL Financial’s Strategic Wealth Management program, monitoring holdings and periodically rebalancing to align with clients’ objectives and risk tolerances. It also provides hourly financial planning and participant education for retirement plans, and discloses use of methods such as fundamental and technical analysis and, where appropriate, margin or short sales strategies based on client suitability.

Distinctive aspects disclosed in the brochure include the firm’s transition to LPL Financial (completed in 2025) and that its investment adviser representatives are dually registered as LPL broker‑dealer representatives and licensed insurance agents, arrangements the firm identifies as creating potential conflicts (including receipt of transition assistance and forgivable loans). The brochure also highlights practices that are less common for peers — assistance applying for securities‑backed lines of credit, a limited stance on direct cryptocurrency recommendations (outside LPL‑approved publicly traded securities), use of AI tools to record or transcribe meetings (with an opt‑out), and an explicit policy not to vote client proxies.