Walker Financial Advisors, Inc. Dba California 457 Benefits (Mission Viejo)


Walker Financial Advisors, Inc. Dba California 457 Benefits is a large advisory firm based in Mission Viejo. It manages $125.24 million of regulatory assets for 286 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdiction of California.

Walker Financial Advisors, Inc. Dba California 457 Benefits provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and publication of newsletters. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Walker Financial Advisors, Inc. Dba California 457 Benefits: assets under management

The assets under management (AUM) of Walker Financial Advisors, Inc. Dba California 457 Benefits is $125.24 million. The firm's AUM has gone down by -3% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $103.86 million in discretionary accounts and $21.38 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $399.46 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $822.23 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 45% of the total AUM. The second-largest asset type is exchange traded securities, which make up 28% of the firm’s portfolio. Investments in cash and cash equivalents form 13% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Walker Financial Advisors, Inc. Dba California 457 Benefits for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Scott Douglas Walker serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Scott Douglas Walker is high net worth individuals with 30 clients and $64.13 million of assets under management. Among the 7 most similar advisory firms, Walker Financial Advisors, Inc. Dba California 457 Benefits has the 3rd lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $107.1 million for 144 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.

Walker Financial Advisors, Inc. Dba California 457 Benefits doesn't advise any private funds.

Careers at Walker Financial Advisors, Inc. Dba California 457 Benefits

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 2 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 compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Scott Douglas Walker has been acting as President since 1 Jan 1998. Warren Boyd Isenberg joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Walker Family Trust Dated 08/14/1996 Revocable living trust 1 Aug 1996 75% - 100% xxx-xx-xxxx
Scott Douglas Walker President 1 Jan 1998 75% - 100% 1362980
Warren Boyd Isenberg Chief compliance officer 1 Jan 2002 Other 2521124

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Scott Douglas Walker Active 1 Aug 1996 75% - 100% 1362980

Based in Mission Viejo

The principal office where Walker Financial Advisors, Inc. Dba California 457 Benefits performs its advisory services is located at 27201 Puerta Real, Suite 465, Mission Viejo, CA 92691, 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 949-367-1961 or by fax 949-367-1887. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at walkerfinancial.com and its LinkedIn profile.