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ASL FINANCIAL, LLC
CRD 115479File 801-121203
APPROVED
Retail clients
Custody
Filing as of Jan 5, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$186.7M
Bottom 25% of cohort (national)
Discretionary AUM
$178.9M
Non-discretionary $7.8M
Clients
190
190 accounts
Employees
1
Bottom 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- May 13, 2021
- Principal office
- 987 UNIVERSITY AVENUE, SUITE 8, LOS GATOS, CA, 95032
- Phone
- 408.283.7256
- Website
- Not reported
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $186.7M
- Discretionary AUM
- $178.9M
- Non-discretionary AUM
- $7.8M
- Discretionary accounts
- 187
- Non-discretionary accounts
- 3
- Total accounts
- 190
- AUM per client
- $983K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 110 | $125.0M |
| Pension and profit sharing plans | 14 | $30.8M |
| Individuals (other than high net worth individuals) | 66 | $30.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.