Costa Mesa, CA South Coast Dr Office
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Thrivent Investment Management
Institution
Firm-wide stats for Thrivent Investment Management
About
Thrivent Investment Management delivers Dedicated Planning Services to individuals, families, businesses and nonprofit clients through a network of Financial Advisors, offering the engagement either as a one‑time or an ongoing planning relationship; the brochure notes the service has been provided since 1998. Written recommendations address a broad set of topics—including retirement, income tax, estate, business continuation, divorce and special needs planning—but implementation of recommendations is not included in the Dedicated Planning Service.
The firm develops holistic, goal‑based analyses using modeling tools and client‑provided information, and allows clients to combine planning with its managed‑account program under a consolidated billing option called “WealthPlan,” while keeping the planning and managed‑account services separate. Thrivent states it does not accept discretionary trading authority for the Dedicated Planning Service, conducts periodic (typically annual) reviews of recommendations, and relies on Financial Advisors (who may also be insurance producers) to deliver and update plans.
Notably for a large institutional adviser, Thrivent does not provide portfolio management for institutional clients nor serve as a selector of other advisers for institutional mandates, which is an uncommon profile among comparable firms. The brochure also emphasizes potential conflicts when clients implement recommendations through Thrivent or its affiliates, describes advisor compensation and loan programs, and discloses past regulatory reviews and remediation steps alongside its specialized planning offerings.
Based on Thrivent Investment Management
Location
959 South Coast Dr
Costa Mesa CA 92626
Advisors at this office
3
Advisors at this office
Luke C
Series 63, Series 66
Costa Mesa, CA
Thrivent Investment Management
Luke Cattau is a financial advisor at Thrivent Investment Management with 23 years of industry experience. He holds Series 63 and Series 66 designations and has been with Thrivent Financial for Lutherans and Thrivent Investment Management since 2002. Thrivent Investment Management provides Dedicated Planning Services to individuals, families, businesses, and nonprofit clients through a network of financial advisors. The firm offers holistic, goal-based analyses covering a wide range of planning topics, with the option to combine planning and managed-account services under a consolidated billing arrangement called “WealthPlan.”
Stephanie S
Series 63, Series 65
Costa Mesa, CA
Thrivent Investment Management
Stephanie Shields is a financial advisor at Thrivent Investment Management with 31 years of industry experience. She has worked at Thrivent Financial for Lutherans and Thrivent Investment Management since 2002. Shields holds Series 63 and Series 65 licenses and is based in Costa Mesa, California. Thrivent Investment Management provides Dedicated Planning Services to individuals, families, businesses, and nonprofit clients through a large network of Financial Advisors. The firm offers holistic, goal-based financial planning across a broad range of topics, with the option to combine planning with managed-account services under a consolidated billing model called “WealthPlan.”
Diana A
Series 63, Series 65
Costa Mesa, CA
Thrivent Investment Management
Diana Ashbaugh is a financial advisor with Thrivent Investment Management in Costa Mesa, CA, holding Series 63 and Series 65 licenses and bringing two years of industry experience. Prior to her current role at Thrivent, she worked at LPCH at Stanford for 11 years and spent five years as a stay-at-home parent. Outside of her advisory work, Ashbaugh serves as Vice President of Professional Development for ALPHA OC, where she focuses on networking, mentorship, and career growth initiatives. Thrivent Investment Management provides Dedicated Planning Services to individuals, families, businesses, and nonprofit clients through a network of financial advisors, offering holistic, goal-based financial analyses and planning without discretionary portfolio management.
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