# Auspicious Financial Planning, LLC

> Auspicious Financial Planning, LLC is an SEC-registered investment advisory firm in San Ramon, CA, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 297962
- Filed as: AUSPICIOUS FINANCIAL PLANNING, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: San Ramon, CA
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/297962
- AdvisorCensus page: https://advisorcensus.com/firm/auspicious-financial-planning-llc-san-ramon-ca-297962

## Quick answers

**How is Auspicious Financial Planning, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Auspicious Financial Planning, LLC reports these compensation arrangements: a percentage of assets under its management.

**How much does Auspicious Financial Planning, LLC charge?**
Its Form ADV Part 2A brochure dated March 31, 2026 states: Asset-based fee: 0.2% to 0.8% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Auspicious Financial Planning, LLC located?**
Auspicious Financial Planning, LLC's principal office is in San Ramon, CA, according to its Form ADV.

**Is Auspicious Financial Planning, LLC registered with the SEC or a state?**
Auspicious Financial Planning, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 297962.

**How much does Auspicious Financial Planning, LLC manage?**
Auspicious Financial Planning, LLC reports $277,960,000 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**How have Auspicious Financial Planning, LLC's assets and staff changed since 2021?**
In the Form ADV data for Auspicious Financial Planning, LLC: Regulatory assets under management: $216,813,633 in the October 2021 data and $277,960,000 in the October 2026 data, up 28%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Auspicious Financial Planning, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (109); high net worth individuals (84).

**Which custodians does Auspicious Financial Planning, LLC use?**
Auspicious Financial Planning, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Auspicious Financial Planning, LLC report any disciplinary disclosures?**
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/297962

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- Asset-based fee: 0.2% to 0.8% a year (a range, as the brochure states it)

> Our maximum annual fee for these services ranges from 0.20% to 0.80%.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $277,960,000
- Discretionary: $277,960,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 109 | $37,800,000 |
| High net worth individuals | 84 | $240,160,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services

### Firm details
- Registered since: 2018 (8 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CA, FL, NY, PA, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- auspiciousfinancial.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $216,813,633 | 2 | March 12, 2021 |
| October 2022 | $241,000,000 | 2 | February 25, 2022 |
| October 2023 | $210,000,000 | 2 | March 24, 2023 |
| October 2024 | $235,120,000 | 2 | March 21, 2024 |
| October 2025 | $274,050,000 | 2 | March 12, 2025 |
| October 2026 | $277,960,000 | 2 | March 31, 2026 |

Regulatory assets under management: $216,813,633 in the October 2021 data and $277,960,000 in the October 2026 data, up 28%.
Total employees: 2 in October 2021 and 2 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Auspicious Financial Planning, LLC (CRD 297962): Form ADV filing data as of October 2026.