Cale Financial Management, Inc. (Pukalani)

Name: Cale Financial Management, Inc.
Address: 24 Kiopa'a Street, Pukalani, HI, 96768
Telephone: (808) 214-5012

Cale Financial Management, Inc. is a large advisory firm based in Pukalani. It manages $105.79 million of regulatory assets for 202 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdictions of California and Hawaii.

Cale Financial Management provides portfolio management for individuals and small businesses and investment consulting. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Cale Financial Management: assets under management

The assets under management (AUM) of Cale Financial Management, Inc. is $105.79 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -7% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $105.79 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $523.73 thousand each.

Investments

The firm invests in cash and cash equivalents the most. They account for 24% of the total AUM. The second-largest asset type is exchange traded securities, which make up 19% of the firm’s portfolio. Investments in government bonds form 17% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Cale Financial Management, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Bennett William Cale serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Bennett William Cale is high net worth individuals with 11 clients and $73.63 million of assets under management. Among the 11 most similar advisory firms, Cale Financial Management has the 3rd lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $105.79 million for 68 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.

Cale Financial Management doesn't advise any private funds.

Careers at Cale Financial Management, Inc.

The company employs 2 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative 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 doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Bennett William Cale has been acting as President since 1 Nov 2007. Tressa Delisa Hanson joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Bennett William Cale	President	1 Nov 2007	75% - 100%	3074179
Gabrielle Lee Anderman	Shareholder	1 Jan 2011	Other	6051217
Tressa Delisa Hanson	Chief compliance officer	1 Jan 2018	Other	6967317

Based in Pukalani

The principal office where Cale Financial Management, Inc. performs its advisory services is located at 24 Kiopa'a Street, Pukalani, HI 96768, 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 (808) 214-5012 or by fax (808) 442-1046. The normal business hours are 8:30 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at calefinancialmanagement.com.