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PROVIDENCE FINANCIAL AND INSURANCES, INC.
Legal name: PROVIDENCE FINANCIAL AND INSURANCE SERVICES, INC
CRD 141988File 801-121770
APPROVED
Retail clients
Filing as of May 4, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$215.0M
Below cohort median (national)
Discretionary AUM
$215.0M
Clients
624
1,524 accounts
Employees
16
Bottom 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Jul 16, 2021
- Principal office
- 6320 CANOGA AVENUE, SUITE 600, WOODLAND HILLS, CA, 91367
- Phone
- 818-887-6443
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $215.0M
- Discretionary AUM
- $215.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,524
- Non-discretionary accounts
- 0
- Total accounts
- 1,524
- AUM per client
- $345K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 42 | $63.9M |
| Individuals (other than high net worth individuals) | 582 | $151.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Commissions
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- 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 | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 17 | 16 | decreased by1 |
| Apr 1, 2026 | Clients | 625 | 624 | decreased by1 |
| Apr 1, 2026 | AUM | $189,507,150 | $215,020,611 | increased by$25,513,461 |
| Apr 1, 2026 | Accounts | 1,362 | 1,524 | increased by162 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 2 | 17 | increased by15 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,137 | 625 | decreased by512 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $119,265,165 | $189,507,150 | increased by$70,241,985 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,137 | 1,362 | increased by225 |
| Apr 1, 2022 | Clients | 636 | 1,137 | increased by501 |
| Apr 1, 2022 | AUM | $110,731,458 | $119,265,165 | increased by$8,533,707 |
| Apr 1, 2022 | Accounts | 1,111 | 1,137 | increased by26 |
| Aug 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PROVIDENCE FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PROVIDENCE FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
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.