# Ostrofe Financial Consultants Inc

> 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.

- CRD: 110064
- Filed as: OSTROFE FINANCIAL CONSULTANTS INC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Grass Valley, CA
- Filing period: October 2026
- Form ADV filing dated: February 3, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/110064
- AdvisorCensus page: https://advisorcensus.com/firm/ostrofe-financial-consultants-inc-grass-valley-ca-110064

## Quick answers

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

**How much does Ostrofe Financial Consultants Inc charge?**
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.

**Where is Ostrofe Financial Consultants Inc located?**
Ostrofe Financial Consultants Inc's principal office is in Grass Valley, CA, according to its Form ADV.

**Is Ostrofe Financial Consultants Inc registered with the SEC or a state?**
Ostrofe Financial Consultants Inc is an SEC-registered investment advisory firm, registered since 1989. Status as filed: Approved. CRD 110064.

**How much does Ostrofe Financial Consultants Inc manage?**
Ostrofe Financial Consultants Inc reports $386,448,000 in regulatory assets under management in its Form ADV filing dated February 3, 2026 (100% discretionary).

**How have Ostrofe Financial Consultants Inc's assets and staff changed since 2021?**
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.

**What types of clients does Ostrofe Financial Consultants Inc serve?**
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).

**Which custodians does Ostrofe Financial Consultants Inc use?**
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.

**Does Ostrofe Financial Consultants Inc 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/110064

**What changed in Ostrofe Financial Consultants Inc's recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $315,789,000 to $386,448,000 (+22%).

## 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 February 3, 2026)

- Up to $999,999: 1.25% a year
- Above $1,000,000: 1% a year

> 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%

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

### Custodians (Schedule D, Section 5.K(3))
- Pershing LLC

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: $386,448,000
- Discretionary: $386,448,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 414 | $107,517,000 |
| High net worth individuals | 143 | $255,798,000 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 11 | $23,133,000 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 1989 (37 years)
- Employees: 9 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [ostrofefinancial.com](https://ostrofefinancial.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $243,458,000 | 10 | June 29, 2021 |
| October 2022 | $282,114,000 | 10 | February 18, 2022 |
| October 2023 | $251,076,000 | 10 | February 2, 2023 |
| October 2024 | $261,697,000 | 10 | February 9, 2024 |
| October 2025 | $315,789,000 | 10 | February 14, 2025 |
| October 2026 | $386,448,000 | 9 | February 3, 2026 |

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.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $315,789,000 to $386,448,000 (+22%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Ostrofe Financial Consultants Inc (CRD 110064): Form ADV filing data as of October 2026.