SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Ward & Associates
San Diego, CA
CRD 107878
Firm filing updated June 23, 2026 ·
- $187.2MAssets
- 2Advisory staff
- 55Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals40
- Individuals9
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 9 | $1.8 million |
| High net worth individuals | 40 | $178.9 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $1.5 million |
| Charitable organizations | Fewer than 5 clients | $3.3 million |
| Corporations or other businesses not listed above | Fewer than 5 clients | $1.7 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 4 services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$187.2 million
- Accounts55
- Discretionary$175.8 million · 49 accounts
- Non-discretionary$11.4 million · 6 accounts
People
- Employees2
- Advisory staff2
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients1 to 10
Advisors
2 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 107878, SEC file 801-55927.
- Registered with the SEC as an investment advisor (status date on record: October 19, 1998).
Is Ward & Associates a fiduciary?
Short answer: Ward & Associates is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.