{
  "crd_number": 110064,
  "slug": "ostrofe-financial-consultants-inc-grass-valley-ca-110064",
  "primary_business_name": "OSTROFE FINANCIAL CONSULTANTS INC",
  "legal_name": "OSTROFE FINANCIAL CONSULTANTS INC",
  "dbas": [],
  "city": "Grass Valley",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "46020",
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1989-04-21",
  "years_registered": 37,
  "period": "2026-10-01",
  "filing_date": "2026-02-03",
  "carried_forward": false,
  "raum_total": 386448000.0,
  "raum_discretionary": 386448000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 9,
  "advisory_employees": 3,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 107517000.0,
      "count": 414
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 23133000.0,
      "count": 11
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 255798000.0,
      "count": 143
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA"
  ],
  "websites": [
    "https://ostrofefinancial.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/110064",
  "city_as_filed": "GRASS VALLEY",
  "url": "https://advisorcensus.com/firm/ostrofe-financial-consultants-inc-grass-valley-ca-110064",
  "display_name": "Ostrofe Financial Consultants Inc",
  "summary": "Ostrofe Financial Consultants Inc is an SEC-registered investment advisory firm in Grass Valley, CA, registered since 1989, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 3, 2026.",
  "citation": "AdvisorCensus. Ostrofe Financial Consultants Inc (CRD 110064): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Ostrofe Financial Consultants Inc compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Ostrofe Financial Consultants Inc reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does Ostrofe Financial Consultants Inc charge?",
      "a": "Its Form ADV Part 2A brochure dated February 3, 2026 states: Up to $999,999: 1.25% a year; Above $1,000,000: 1% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Ostrofe Financial Consultants Inc located?",
      "a": "Ostrofe Financial Consultants Inc's principal office is in Grass Valley, CA, according to its Form ADV."
    },
    {
      "q": "Is Ostrofe Financial Consultants Inc registered with the SEC or a state?",
      "a": "Ostrofe Financial Consultants Inc is an SEC-registered investment advisory firm, registered since 1989. Status as filed: Approved. CRD 110064."
    },
    {
      "q": "How much does Ostrofe Financial Consultants Inc manage?",
      "a": "Ostrofe Financial Consultants Inc reports $386,448,000 in regulatory assets under management in its Form ADV filing dated February 3, 2026 (100% discretionary)."
    },
    {
      "q": "How have Ostrofe Financial Consultants Inc's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Ostrofe Financial Consultants Inc: Regulatory assets under management: $243,458,000 in the October 2021 data and $386,448,000 in the October 2026 data, up 59%. Total employees: 10 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Ostrofe Financial Consultants Inc serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (414); high net worth individuals (143); pension and profit sharing plans (but not the plan participants or government pension plans) (11)."
    },
    {
      "q": "Which custodians does Ostrofe Financial Consultants Inc use?",
      "a": "Ostrofe Financial Consultants Inc'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 Ostrofe Financial Consultants Inc 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/110064"
    },
    {
      "q": "What changed in Ostrofe Financial Consultants Inc's recent Form ADV filings?",
      "a": "In the March 2026 filing data: Regulatory assets under management went from $315,789,000 to $386,448,000 (+22%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 243458000.0,
      "total_employees": 10,
      "filing_date": "2021-06-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 282114000.0,
      "total_employees": 10,
      "filing_date": "2022-02-18"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 251076000.0,
      "total_employees": 10,
      "filing_date": "2023-02-02"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 261697000.0,
      "total_employees": 10,
      "filing_date": "2024-02-09"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 315789000.0,
      "total_employees": 10,
      "filing_date": "2025-02-14"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 386448000.0,
      "total_employees": 9,
      "filing_date": "2026-02-03"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Regulatory assets under management went from $315,789,000 to $386,448,000 (+22%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated February 3, 2026",
    "provided_by_the_firm": false,
    "tiers": [
      {
        "band": "Up to $999,999",
        "rate": "1.25%"
      },
      {
        "band": "Above $1,000,000",
        "rate": "1%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "Up to $999,999: 1.25% a year",
          "Above $1,000,000: 1% a year"
        ],
        "quotes": [
          "Fees are based by a household of accounts as a percentage of assets under management, billed quarterly, in advance, and deducted from clients’ assets as follows: Portfolio Value Annual Fee $0 - $999,999 1.25% $1,000,000 - + 1.00%"
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": 0.0,
          "max": 999999.0,
          "rate_pct": 1.25
        },
        {
          "min": 1000000.0,
          "max": null,
          "rate_pct": 1.0
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Fees are based by a household of accounts as a percentage of assets under management, billed quarterly, in advance, and deducted from clients’ assets as follows: Portfolio Value Annual Fee $0 - $999,999 1.25% $1,000,000 - + 1.00%"
    ],
    "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/ostrofe-financial-consultants-inc-grass-valley-ca-110064.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 414,
      "fewer_than_5": false,
      "raum": 107517000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 143,
      "fewer_than_5": false,
      "raum": 255798000.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 11,
      "fewer_than_5": false,
      "raum": 23133000.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "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/110064",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}