Findec Wealth Services, Inc.
- Regulatory AUM
- $628M
- Discretionary
- $628M
- Clients
- 597
- Avg AUM / client
- $1.1M
- Accounts
- 822
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 306 | $54.6M | 8.69% |
| High net worth individuals | 38 | $65.5M | 10.4% |
| Pension and profit sharing plans | 238 | $490M | 78.1% |
| Charitable organizations | 2 | $1.4M | 0.22% |
| State or municipal government entities | 11 | $15.7M | 2.51% |
| Corporations and other businesses | 2 | $493K | 0.08% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| San Joaquin County Child Abuse Prevention Council 403(b) Plan San Joaquin County Child Abuse Prevention Council | 2024 | |
| Tarditi, Inc. 401(k) Profit Sharing Plan Tarditi, Inc. | 2024 | |
| Children's Home Of Stockton 401(k) Profit Sharing Plan Children's Home Of Stockton | 2024 | |
| Antonini Freight Express, Inc. 401(k) & Profit Sharing Plan Antonini Freight Express, Inc. | 2024 |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Herold, Kenneth, Robert | Chief Compliance Officer | Oct 2020 (6y) | Less than 5% | |
| Kevin Eugene Mahoney | Shareholder | Oct 2020 (6y) | ≈ 18.75% – 50% via Findec Co. | |
| Lee, Michael, E | President & Chief Executive Officer | Oct 2020 (6y) | ≈ 37.5% – 75% via Findec Co. | |
| Ruben Paita | Registered representative | Nov 2024 (2y) | ||
| Eric Charles Klopping | Registered representative | May 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Findec Co. | Parent Company | Oct 2020 | 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):
- Kevin Eugene Mahoney: 25% – 50% of Findec Co. × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Lee, Michael, E: 50% – 75% of Findec Co. × 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.
Retirement plans served (4)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| San Joaquin County Child Abuse Prevention Council 403(b) Plan | San Joaquin County Child Abuse Prevention Council | 146 | $2.4M | 07/01/2024 |
| Tarditi, Inc. 401(k) Profit Sharing Plan | Tarditi, Inc. | 96 | $7.5M | 04/01/2024 |
| Children's Home Of Stockton 401(k) Profit Sharing Plan | Children's Home Of Stockton | 56 | $3.4M | 01/01/2024 |
| Antonini Freight Express, Inc. 401(k) & Profit Sharing Plan | Antonini Freight Express, Inc. | 113 | $8.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/23/2026 | 1.04 MB | 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
- • Hourly charges
- • Fixed fees
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. $626M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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 23, 2026.
View current Form ADV (SEC/IAPD) ↗