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Adviser Profile

As of Date 10/07/2024
Adviser Type - Large advisory firm
Number of Employees 13 30.00%
of those in investment advisory functions 6 20.00%
Registration SEC, Approved, 04/27/2018
AUM* 1,209,114,893 31.82%
of that, discretionary 654,902,313 -6.17%
Private Fund GAV* 90,494,162 9.61%
Avg Account Size 758,541 4.78%
% High Net Worth 44.70% 4.30%
SMA’s Yes
Private Funds 6 2
Contact Info 626 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pooled investment vehicles
- Pension and profit sharing plans
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Pension consulting services
- Selection of other advisers
- Publication of periodicals or newsletters
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees

Recent News

Reported AUM

Discretionary
Non-discretionary
698M 598M 499M 399M 299M 199M 100M
2018 2019 2020 2021 2022 2023

Private Funds



Employees

Private Funds Structure

Fund Type Count GAV
Fund TypePrivate Equity Fund Count1 GAV$1,515,000
Fund TypeReal Estate Fund Count2 GAV$49,400,000
Fund TypeVenture Capital Fund Count1 GAV$4,550,000
Fund TypeOther Private Fund Count2 GAV$35,029,162

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Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker922908744 Stock NameVANGUARD INDEX FDS $ Position$67,670,081 % Position14.00% $ Change4.00% # Change-4.00%
Stck Ticker922908736 Stock NameVANGUARD INDEX FDS $ Position$62,452,504 % Position13.00% $ Change-2.00% # Change-5.00%
Stck Ticker922042775 Stock NameVANGUARD INTL EQUITY INDEX F $ Position$39,705,187 % Position8.00% $ Change7.00% # Change-1.00%
Stck Ticker922908611 Stock NameVANGUARD INDEX FDS $ Position$23,594,762 % Position5.00% $ Change8.00% # Change-1.00%
Stck Ticker808524771 Stock NameSCHWAB STRATEGIC TR $ Position$13,586,889 % Position3.00% $ Change3.00% # Change-3.00%
Stck Ticker922908595 Stock NameVANGUARD INDEX FDS $ Position$14,143,948 % Position3.00% $ Change7.00% # Change0.00%
Stck Ticker316188309 Stock NameFIDELITY MERRIMACK STR TR $ Position$12,660,053 % Position3.00% $ Change9.00% # Change5.00%
Stck Ticker25460E307 Stock NameDIREXION SHS ETF TR $ Position$14,357,653 % Position3.00% $ Change64.00% # Change65.00%
Stck Ticker808524763 Stock NameSCHWAB STRATEGIC TR $ Position$14,577,430 % Position3.00% $ Change6.00% # Change-2.00%
Stck Ticker032108409 Stock NameAMPLIFY ETF TR $ Position$10,197,658 % Position2.00% $ Change3.00% # Change-3.00%

Brochure Summary

Overview

Our firm is dedicated to providing individuals and other types of clients with a wide array of investment advisory services. Our firm is a limited liability company formed under the laws of the State of Delaware in 2018 and has been in business as an investment adviser since that time. Our firm is majority owned by Iain A. Whyte, Simon M. Holford, Bryan A. Muth and Simon S. Reeves. The purpose of this Brochure is to disclose the conflicts of interest associated with the investment transactions, compensation and any other matters related to investment decisions made by our firm or its representatives. As a fiduciary, it is our duty to always act in the client’s best interest. This is accomplished in part by knowing our client. Our firm has established a service-oriented advisory practice with open lines of communication for many different types of clients to help meet their financial goals while remaining sensitive to risk tolerance and time horizons. Working with clients to understand their investment objectives while educating them about our process, facilitates the kind of working relationship we value. Types of Advisory Services Offered Asset Management: As part of our Asset Management service, a portfolio is created, consisting of individual stocks, bonds, exchange traded funds (“ETFs”), options, mutual funds and other public and private securities or investments. The client’s individual investment strategy is tailored to their specific needs and may include some or all of the previously mentioned securities. Portfolios will be designed to meet a particular investment goal, determined to be suitable to the client’s circumstances. Once the appropriate portfolio has been determined, portfolios are continuously and regularly monitored, and if necessary, rebalanced based upon the client’s individual needs, stated goals and objectives. Financial Planning & Consulting: Our firm provides a variety of standalone financial planning and consulting services to clients for the management of financial resources based upon an analysis of current situation, goals, and objectives. Financial planning services will typically involve preparing a financial plan or rendering a financial consultation for clients based on the client’s financial goals and objectives. This planning or consulting may encompass Investment Planning, Retirement Planning, Estate Planning, Charitable Planning, Education Planning, Corporate and Personal Tax Planning, Cost Segregation Study, Corporate Structure, Real Estate Analysis, Mortgage/Debt Analysis, Insurance Analysis, Lines of Credit Evaluation, or Business and Personal Financial Planning. Written financial plans or financial consultations rendered to clients usually include general recommendations for a course of activity or specific actions to be taken by the clients. Implementation of the recommendations will be at the discretion of the client. Our firm provides clients with a summary of their financial situation, and observations for financial planning engagements. Financial consultations are not typically accompanied by a written summary of observations and recommendations, as the process is less formal than the planning service. Assuming that all the information and documents requested from the client are provided promptly, plans or consultations are typically completed within 6 months of the client signing a contract with our firm. ADV Part 2A – Firm Brochure Page 5 Pasadena Private Wealth, LLC Retirement Plan Consulting: Our firm provides retirement plan consulting services to employer plan sponsors on an ongoing basis. Generally, such consulting services consist of assisting employer plan sponsors in establishing, monitoring and reviewing their company’s participant-directed retirement plan. As the needs of the plan sponsor dictate, areas of advising may include:
• Establishing an Investment Policy Statement – Our firm will assist in the development of a statement that summarizes the investment goals and objectives along with the broad strategies to be employed to meet the objectives.
• Investment Options – Our firm will work with the Plan Sponsor to evaluate existing investment options and make recommendations for appropriate changes.
• Asset Allocation and Portfolio Construction – Our firm will develop strategic asset allocation models to aid Participants in developing strategies to meet their investment objectives,
time horizon, financial situation and tolerance for risk.
• Investment Monitoring – Our firm will monitor the performance of the investments and notify the client in the event of over/underperformance and in times of market volatility.
• Participant Education – Our firm will provide opportunities to educate plan participants about their retirement plan offerings, different investment options, and general guidance on allocation strategies. In providing services for retirement plan consulting, our firm does not provide any advisory services with respect to the following types of assets: employer securities, real estate (excluding real estate funds and publicly traded REITS), participant loans, non-publicly traded securities or assets, other illiquid investments, or brokerage window programs (collectively, “Excluded Assets”). All retirement plan consulting services shall be in compliance with the applicable state laws regulating retirement consulting services. This applies to client accounts that are retirement or other employee benefit plans (“Plan”) governed by the Employee Retirement Income Security Act of 1974, as amended (“ERISA”). If the client accounts are part of a Plan, and our firm accepts appointment to provide services to such accounts, our firm acknowledges its fiduciary standard within the meaning of Section 3(21) or 3(38) of ERISA as designated by the Retirement Plan Consulting Agreement with respect to the provision of services described therein. Portfolio Monitoring: Our Portfolio Monitoring Service provides for general asset allocation guidance within parameters of a plan held with outside custodians. This service is solely consultative in nature and involves no on- going supervision, trading, or discretion with respect to securities transactions. Clients are responsible for placing and executing their own trades, either on their own or with another investment adviser. We provide non-continuous and periodic outside account monitoring. Referrals to Third Party Money Managers: Our firm utilizes the services of a third-party money manager for the management of client accounts. Our firm will not offer advice on any specific securities or other investments in connection with this service. Prior to referring clients, our firm will provide initial due diligence on third party money managers and ongoing reviews of their management of client accounts. In order to assist in the selection of a third-party money manager, our firm will gather client information pertaining to ADV Part 2A – Firm Brochure Page 6 Pasadena Private Wealth, LLC financial situation, investment objectives, and reasonable restrictions to be imposed upon the management of the account. Our firm will periodically review third party money manager reports provided to the client at least annually. Our firm will contact clients from time to time in order to review their financial situation and objectives; communicate information to third party money managers as warranted; and, assist the client in understanding and evaluating the services provided by the third-party money manager. Clients will be expected to notify our firm of any changes in their financial situation, investment objectives, or account restrictions that could affect their financial standing. Tailoring of Advisory Services PPW provides portfolio management services using investment models designed to meet a variety of client investment objectives. Client portfolios are managed on the basis of individual clients’ financial situation and investment objectives. Clients may impose reasonable restrictions on the management of their accounts if PPW determines, in its sole discretion, that the conditions would not materially impact the performance of a management strategy or prove overly burdensome for PPW’s management efforts. Each Asset Management client has the opportunity to place reasonable restrictions on the types of investments to be held in the portfolio. Restrictions on investments in certain securities or types of securities may not be possible due to the level of difficulty this would entail in managing the account. Participation in Wrap Fee Programs Our firm does not offer or sponsor a wrap fee program. Regulatory Assets Under Management Our firm manages $654,902,313 on a discretionary basis and $554,212,580on a non-discretionary basis for a total of $1,209,114,893 in Assets Under Management as of December 31, 2023.