{
  "crd_number": 115479,
  "slug": "asl-financial-llc-los-gatos-ca-115479",
  "primary_business_name": "ASL FINANCIAL, LLC",
  "legal_name": "ASL FINANCIAL, LLC",
  "dbas": [],
  "city": "Los Gatos",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "41940",
  "metro": {
    "cbsa_code": "41940",
    "common_name": "San Jose",
    "msa_name": "San Jose-Sunnyvale-Santa Clara, CA",
    "path": "/advisors/ca/san-jose"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2021-05-13",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-01-05",
  "carried_forward": false,
  "raum_total": 186708263.0,
  "raum_discretionary": 178943028.0,
  "raum_non_discretionary": 7765235.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 30881026.0,
      "count": 66
    },
    "pension_profit_sharing": {
      "raum": 30777812.0,
      "count": 14
    },
    "high_net_worth_individuals": {
      "raum": 125049425.0,
      "count": 110
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "TX"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/115479",
  "city_as_filed": "LOS GATOS",
  "url": "https://advisorcensus.com/firm/asl-financial-llc-los-gatos-ca-115479",
  "display_name": "ASL Financial, LLC",
  "summary": "ASL Financial, LLC is an SEC-registered investment advisory firm in Los Gatos, CA, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 5, 2026.",
  "citation": "AdvisorCensus. ASL Financial, LLC (CRD 115479): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is ASL Financial, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), ASL Financial, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does ASL Financial, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated January 5, 2026 states: Flat fee: $500 to $5,000 (Financial Planning and/or Consulting Services); Hourly rate: $300 to $500 an hour (Financial Planning and/or Consulting Services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is ASL Financial, LLC located?",
      "a": "ASL Financial, LLC's principal office is in Los Gatos, CA, according to its Form ADV."
    },
    {
      "q": "Is ASL Financial, LLC registered with the SEC or a state?",
      "a": "ASL Financial, LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 115479."
    },
    {
      "q": "How much does ASL Financial, LLC manage?",
      "a": "ASL Financial, LLC reports $186,708,263 in regulatory assets under management in its Form ADV filing dated January 5, 2026 (96% discretionary)."
    },
    {
      "q": "How have ASL Financial, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for ASL Financial, LLC: Regulatory assets under management: $106,476,764 in the October 2021 data and $186,708,263 in the October 2026 data, up 75%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does ASL Financial, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (110); individuals (other than high net worth individuals) (66); pension and profit sharing plans (but not the plan participants or government pension plans) (14)."
    },
    {
      "q": "Which custodians does ASL Financial, LLC use?",
      "a": "ASL Financial, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does ASL Financial, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/115479"
    },
    {
      "q": "What changed in ASL Financial, LLC's recent Form ADV filings?",
      "a": "In the February 2026 filing data: Regulatory assets under management went from $162,513,443 to $186,708,263 (+15%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 106476764.0,
      "total_employees": 1,
      "filing_date": "2021-07-19"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 118143423.0,
      "total_employees": 1,
      "filing_date": "2022-01-12"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 111952127.0,
      "total_employees": 1,
      "filing_date": "2023-09-05"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 137077384.0,
      "total_employees": 1,
      "filing_date": "2024-01-09"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 162513443.0,
      "total_employees": 1,
      "filing_date": "2025-01-13"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 186708263.0,
      "total_employees": 1,
      "filing_date": "2026-01-05"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Regulatory assets under management went from $162,513,443 to $186,708,263 (+15%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated January 5, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Flat fee: $500 to $5,000 (Financial Planning and/or Consulting Services)",
      "Hourly rate: $300 to $500 an hour (Financial Planning and/or Consulting Services)"
    ],
    "figures": [
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $500 to $5,000 (Financial Planning and/or Consulting Services)"
        ],
        "quotes": [
          "As a fixed fee, typically ranging from $500 to $5,000, depending on the nature and complexity of each clientʹs circumstances;"
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $300 to $500 an hour (Financial Planning and/or Consulting Services)"
        ],
        "quotes": [
          "On an hourly basis, ranging from $300 to $500 per hour, depending on the nature and complexity of each clientʹs circumstances."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "flat",
          "amount": null,
          "min": 500.0,
          "max": 5000.0,
          "period": "one_time",
          "service": "Financial Planning and/or Consulting Services"
        },
        {
          "kind": "hourly",
          "amount": null,
          "min": 300.0,
          "max": 500.0,
          "period": "hour",
          "service": "Financial Planning and/or Consulting Services"
        }
      ]
    },
    "quotes": [
      "As a fixed fee, typically ranging from $500 to $5,000, depending on the nature and complexity of each clientʹs circumstances;",
      "On an hourly basis, ranging from $300 to $500 per hour, depending on the nature and complexity of each clientʹs circumstances."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Pershing LLC",
      "name_as_filed": "PERSHING LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/asl-financial-llc-los-gatos-ca-115479.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 66,
      "fewer_than_5": false,
      "raum": 30881026.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 110,
      "fewer_than_5": false,
      "raum": 125049425.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 14,
      "fewer_than_5": false,
      "raum": 30777812.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/115479",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}