Johanson Financial Advisors, Inc. (Campbell)

Name: Johanson Financial Advisors, Inc.
Address: 2105 S. Bascom Avenue, Campbell, CA, 95008
Telephone: 408-404-0009

Johanson Financial Advisors, Inc. is a large advisory firm based in Campbell. It manages $264.68 million of regulatory assets for 752 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Arizona, California, Hawaii, Texas, and Utah.

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

Johanson Financial Advisors: assets under management

The assets under management (AUM) of Johanson Financial Advisors, Inc. is $264.68 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 223% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $264.68 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $351.97 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 60% of the total AUM. The second-largest asset type is investment and business development companies, which make up 35% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Johanson Financial Advisors, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. 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 David Leland Johanson serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of David Leland Johanson is high net worth individuals with 91 clients and $182.91 million of assets under management. Among the 12 most similar advisory firms, Johanson Financial Advisors has the 6th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $264.68 million for 275 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.

Johanson Financial Advisors doesn't advise any private funds.

Careers at Johanson Financial Advisors, Inc.

The company employs 8 people that are either part- or full-time employees. 38 percent of the employees work as investment advisers or researchers. 3 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 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.

David Leland Johanson has been acting as President since 1 Sep 2011. Lynda M Tu joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
David Leland Johanson	President	1 Sep 2011	75% - 100%	1540740
Timothy Dalton Henry	Chief compliance officer	1 Dec 2011	Other	6017507
Lynda M Tu	Chief compliance officer	1 Jan 2015	Other	5617228

Based in Campbell

The principal office where Johanson Financial Advisors, Inc. performs its advisory services is located at 2105 S. Bascom Avenue, Campbell, CA 95008, 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 408-404-0009 or by fax (408) 626-0009. The normal business hours are 8am to 5pm on Monday - Friday. You can find more information about the New York firm at johansonfinancial.com.