Ronald Joseph Wagner (Pleasant Hill)

Name: Ronald Joseph Wagner
Address: 3478 Buskirk Avenue, Pleasant Hill, CA, 94523
Telephone: 925-930-7176

Ronald Joseph Wagner is a large advisory firm based in Pleasant Hill. It manages $210.14 million of regulatory assets for 366 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of California, Florida, Louisiana, Texas, and Washington.

Ronald Joseph Wagner provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ronald Joseph Wagner: assets under management

The assets under management (AUM) of Ronald Joseph Wagner is $210.14 million. The firm's AUM has grown by 678% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $194.52 million in discretionary accounts and $15.63 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $560.57 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $822.37 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 80% of the total AUM. The second-largest asset type is non-exchange traded securities, which make up 15% of the firm’s portfolio. Investments in exchange traded securities form 2% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Ronald Joseph Wagner for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Ronald Joseph Wagner serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Ronald Joseph Wagner is high net worth individuals with 56 clients and $132.75 million of assets under management. Among the 11 most similar advisory firms, Ronald Joseph Wagner has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $210.14 million for 366 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Ronald Joseph Wagner doesn't advise any private funds.

Careers at Ronald Joseph Wagner

The company employs 7 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ronald Joseph Wagner	Sole proprietor	1 Nov 1992	75% - 100%	2109102
Gerald Gilberto Guintu	Chief compliance officer	1 Oct 2004	Other	4173908

Based in Pleasant Hill

The principal office where Ronald Joseph Wagner performs its advisory services is located at 3478 Buskirk Avenue, Pleasant Hill, CA 94523, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 925-930-7176 or by fax 925-930-6668. The normal business hours are 8:00am - 3:00pm on Monday - Friday. You can find more information about the New York firm at wlisinvest.com.