The Simple Investor's Guide, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides portfolio management and advisory services to individuals (including high-net-worth clients), corporations, and employee benefit plans. It reports managing about $12.5 million in client assets across 19 client relationships and offers both customized accounts and firm-developed model portfolios.
The adviser operates predominantly on a non‑discretionary basis, requiring client approval before executing transactions, and integrates discussions of anticipated cash flow and withdrawal timing into ongoing portfolio monitoring and rebalancing. Its investment process draws on fundamental analysis and modern portfolio theory, with a mix of long‑term purchase strategies and model-driven allocations tailored to client risk profiles.
What is distinctive about the firm is its emphasis on non‑discretionary management—a less common arrangement among independent advisers of this type—and a recent change to discontinue standalone financial planning and public educational seminars, which alters how educational services are provided. The firm is fee‑only, does not accept performance‑based fees or soft‑dollar benefits, and its principal has a professional background outside finance, which is atypical among peers.
Client services
Expertise
Fee options
Under $250,000 - $249,999: 1.10% $250,000 - $499,999: 1.00% $500,000 - $999,999: 0.90% Over $1,000,000+: Negotiable
Account minimum: $100,000 Fee-only: Firm is a fee-only advisor and does not accept commissions or other compensation except the AUM fees described.
Main office
2775 Tapo Street, Suite #203 B
Simi Valley CA 93063
Advisors at this office
1
Most active in
California · Texas
Also doing business as
Simi Valley Investment Services · The Simple Investor's Guide, LLC
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
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