Auspicious Financial Planning, Llc
- Regulatory AUM
- $278M
- Discretionary
- $278M
- Clients
- 193
- Avg AUM / client
- $1.4M
- Accounts
- 609
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 109 | $37.8M | 13.6% |
| High net worth individuals | 84 | $240M | 86.4% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Chen, Grace, Wun | Trustee | Oct 2007 (19y) | ≈ 37.5% – 75% via The Louis I. Dagen And Grace W. Chen Revocable Trust | |
| Louis Isaac Dagen | Chief Compliance Officer | CFP Chartered Financial Consultant | Oct 2007 (19y) | ≈ 37.5% – 75% via The Louis I. Dagen And Grace W. Chen Revocable Trust |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| The Louis I. Dagen And Grace W. Chen Revocable Trust | Managing Member | Jun 2018 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Chen, Grace, Wun: 50% – 75% of The Louis I. Dagen And Grace W. Chen Revocable Trust × 75% – 100% direct ≈ 37.5% – 75% of the firm
- Louis Isaac Dagen: 50% – 75% of The Louis I. Dagen And Grace W. Chen Revocable Trust × 75% – 100% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 903 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $278M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗