Second Mountain Financial, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Second Mountain Financial is an independent, single-advisor registered investment adviser that provides portfolio management and comprehensive financial planning primarily to individuals and families, and also serves ERISA retirement plans, foundations, endowments, and other non‑profit organizations. Advisory services include customized investment strategy development, ongoing monitoring and reporting, and planning in areas such as retirement income, education funding, stock compensation, and estate planning.
The firm follows a passive, index‑based investment philosophy grounded in the Efficient Market Hypothesis and typically recommends diversified mutual funds and ETFs while occasionally advising on individual stocks and bonds when appropriate. Portfolios are built to reflect each client’s goals and risk tolerance, reviewed at least quarterly, and the adviser generally accepts discretionary authority while preferring to discuss transactions with clients beforehand.
Distinctive aspects for a solo independent RIA include an affiliation with an accounting practice that provides tax preparation under separate agreements and an active CPA license held by the firm’s principal. The firm also offers pension consulting and ERISA fiduciary services (including 3(21) and 3(38) roles) for retirement plans, provides business advisory coordination for small‑business owners, and maintains referral arrangements with Morgan Stanley Smith Barney and Signature Estate & Investment Advisors for introductions to third‑party advisory programs.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
Retainer fees paid quarterly or monthly in advance; $1,000 monthly, $3,000 quarterly, or $12,000 annually for RIA services; $3,000 monthly or $36,000 annually minimum for Business Advisory Services
Minimum fee: Minimum annual fee of $12,000 for RIA related services; $36,000 annually minimum for Business Advisory Services Fee-only: Retainer or fixed financial planning fees; $12,000 annually for investment management and financial planning combined
Main office
1815 Via El Prado Ste 303
Redondo Beach CA 90277
Advisors at this office
1
Most active in
California · Texas
Also doing business as
Bryan R. Ellis, Cpa · Bryan Richard Ellis · Ellis Bryan Richard · Second Mountain Financial, Inc.
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:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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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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