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EFFECTIVE ASSETS

EFFECTIVE ASSETS, INC.

CRD 285744 · SEC 801-120391

Corporate platformCorporation

Large incorporated asset manager or corporate group — typically not a local adviser team.

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CA, United States

Registration

Registered (APPROVED)

Source

SEC registered

Total AUM

$165.1M

Discretionary AUM

$160.0M

Team

2 total employees; 1 advisory reps; 2 broker-dealer reps

Clients

26-50

Fees

Percentage of AUM; Hourly charges; Fixed fees

Org form

Corporation

Filing date

2026-02-04

Disciplinary history

No

Services

Financial planningPortfolio management (individuals)Portfolio management (institutions)Selection of other advisersPublication of periodicals

Client types

TypeClientsAUM
Individuals83$32.8M
High net worth individuals41$121.1M

States served

CA, MI, TX

All web addresses on file

Official SEC filing: View on IAPD