PENSIONMARK FINANCIAL GROUP, LLC

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Pensionmark Financial Group is based out of Santa Barbara. Pensionmark Financial Group is a large advisory firm with 2874 clients and discretionary assets under management (AUM) of $2,396,789,735 (Form ADV from 2019-01-28). Their last reported 13F filing for Q4 2018 included $222,900,000 in managed 13F securities and a top 10 holdings concentration of 49.87%. Pensionmark Financial Group's largest holding is iShares S&P 500 Value ETF with shares held of 235,768. Whalewisdom has at least 1 13F filings The firm last filed a Form D notice of exempt offering of securities on 2015-09-11. The notice included securities offered of Equity

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12/31/2018

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12/31/2018

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-02-14

Performance for Q4 2018: 0.69%
Performance Last 4 Quarters: 0.0%
Performance Metrics
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13F Filings Available:
  • 2018-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

PENSIONMARK FINANCIAL GROUP, LLC
24 E. COTA STREET
SANTA BARBARA CA    93101
Country: United States

Business Phone: 888-201-5488
Fax: 678-679-6067
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 91
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 2874
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.E (2),11.E (4)
Data above was derived from SEC filings.

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Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2015-09-11 D INVESTING Equity INDEFINITE 1,683,871 INDEFINITE
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
TROY G HAMMOND subscription required
    EXECUTIVE OFFICER

PENSIONMARK FINANCIAL GROUP, LLC

ownership team - last updated 2018-12-19
Name Title Start Date Direct/Indirect % Ownership
HAMMOND, TROY, GLEN CEO/PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENSIONMARK FINANCIAL GROUP, LLC PRESIDENT/CEO indirect 2008-02-01
PENSIONMARK FINANCIAL GROUP, LLC CEO/PRESIDENT direct 2015-04-01
PENSIONMARK RETIREMENT GROUP MEMBER 04/01/2015 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PENSIONMARK FINANCIAL GROUP, LLC MEMBER direct 2015-04-01
PENSIONMARK FINANCIAL GROUP, LLC OWNER direct 2015-04-01
WOODS, MICHAEL, SEAN EXECUTIVE VICE PRESIDENT 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENSIONMARK FINANCIAL GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2015-05-01
PENSIONMARK FINANCIAL GROUP, LLC EXECUTIVE VICE PRESIDENT direct 2015-05-01
THE CAPFINANCIAL GROUP, LLC MEMBER 05/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CAPFINANCIAL PARTNERS, LLC MEMBER direct 2015-05-01
PENSIONMARK FINANCIAL GROUP, LLC OWNER direct 2015-05-01
PENSIONMARK FINANCIAL GROUP, LLC MEMBER direct 2015-05-01
TANCK, JENNIFER, A EVP/CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC CHIEF COMPLIANCE OFFICER direct 2008-12-01
PENSIONMARK FINANCIAL GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2015-04-01
PENSIONMARK FINANCIAL GROUP, LLC EVP/CHIEF COMPLIANCE OFFICER direct 2017-03-01
HAMMOND, TROY, GLEN PRESIDENT/CEO PENSIONMARK RETIREMENT GROUP 02/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PENSIONMARK FINANCIAL GROUP, LLC PRESIDENT/CEO indirect 2008-02-01
PENSIONMARK FINANCIAL GROUP, LLC CEO/PRESIDENT direct 2015-04-01
MILLER, JAMES, FIELDING PRESIDENT CAPFINANCIAL HOLDING, INC. 05/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CAPFINANCIAL PARTNERS, LLC OWNER indirect 1997-10-01
CAPFINANCIAL PARTNERS, LLC OWNER indirect 1997-10-01
CAPFINANCIAL PARTNERS, LLC OWNER indirect 1997-10-01
CAPFINANCIAL PARTNERS, LLC MANAGER, CEO direct 2003-02-01
CAPFINANCIAL PARTNERS, LLC MANAGING PARTNER/CEO direct 2003-02-01
HATTERAS INVESTMENT PARTNERS LLC OWNER direct 2003-09-01
HATTERAS INVESTMENT PARTNERS LLC NON-MANAGING MEMBER direct 2003-09-01
VERGER CAPITAL MANAGEMENT LLC MEMBER, BOARD OF MANAGERS direct 2014-09-01
CAPFINANCIAL PARTNERS, LLC PRESIDENT indirect 1997-10-01
CAPFINANCIAL PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2003-02-01
CAPFINANCIAL PARTNERS, LLC MANAGER indirect 2015-05-01
CAPFINANCIAL PARTNERS, LLC CHAIRMAN, CEO, PRESIDENT indirect 2015-05-01
PENSIONMARK FINANCIAL GROUP, LLC OWNER indirect 1997-10-01
PENSIONMARK FINANCIAL GROUP, LLC OWNER indirect 1997-10-01
PENSIONMARK FINANCIAL GROUP, LLC PRESIDENT indirect 2015-05-01
CAPFINANCIAL HOLDINGS, INC. MEMBER THE CAPFINANCIAL GROUP, LLC 05/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAPFINANCIAL PARTNERS, LLC MEMBER indirect 2015-05-01
PENSIONMARK FINANCIAL GROUP, LLC MEMBER indirect 2015-05-01

PENSIONMARK FINANCIAL GROUP, LLC

ownership team - last updated 2018-05-29
Name Title Start Date Direct/Indirect % Ownership
HAMMOND, TROY, GLEN CEO/PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENSIONMARK FINANCIAL GROUP, LLC PRESIDENT/CEO indirect 2008-02-01
PENSIONMARK FINANCIAL GROUP, LLC CEO/PRESIDENT direct 2015-04-01
PENSIONMARK RETIREMENT GROUP MEMBER 04/01/2015 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PENSIONMARK FINANCIAL GROUP, LLC MEMBER direct 2015-04-01
PENSIONMARK FINANCIAL GROUP, LLC OWNER direct 2015-04-01
WOODS, MICHAEL, SEAN EXECUTIVE VICE PRESIDENT 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENSIONMARK FINANCIAL GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2015-05-01
PENSIONMARK FINANCIAL GROUP, LLC EXECUTIVE VICE PRESIDENT direct 2015-05-01
THE CAPFINANCIAL GROUP, LLC MEMBER 05/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CAPFINANCIAL PARTNERS, LLC MEMBER direct 2015-05-01
PENSIONMARK FINANCIAL GROUP, LLC OWNER direct 2015-05-01
PENSIONMARK FINANCIAL GROUP, LLC MEMBER direct 2015-05-01
TANCK, JENNIFER, A EVP/CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC CHIEF COMPLIANCE OFFICER direct 2008-12-01
PENSIONMARK FINANCIAL GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2015-04-01
PENSIONMARK FINANCIAL GROUP, LLC EVP/CHIEF COMPLIANCE OFFICER direct 2017-03-01
HAMMOND, TROY, GLEN PRESIDENT/CEO PENSIONMARK RETIREMENT GROUP 02/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PENSIONMARK FINANCIAL GROUP, LLC PRESIDENT/CEO indirect 2008-02-01
PENSIONMARK FINANCIAL GROUP, LLC CEO/PRESIDENT direct 2015-04-01
MILLER, JAMES, FIELDING PRESIDENT CAPFINANCIAL HOLDING, INC. 05/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CAPFINANCIAL PARTNERS, LLC OWNER indirect 1997-10-01
CAPFINANCIAL PARTNERS, LLC OWNER indirect 1997-10-01
CAPFINANCIAL PARTNERS, LLC OWNER indirect 1997-10-01
CAPFINANCIAL PARTNERS, LLC MANAGER, CEO direct 2003-02-01
CAPFINANCIAL PARTNERS, LLC MANAGING PARTNER/CEO direct 2003-02-01
HATTERAS INVESTMENT PARTNERS LLC OWNER direct 2003-09-01
HATTERAS INVESTMENT PARTNERS LLC NON-MANAGING MEMBER direct 2003-09-01
VERGER CAPITAL MANAGEMENT LLC MEMBER, BOARD OF MANAGERS direct 2014-09-01
CAPFINANCIAL PARTNERS, LLC PRESIDENT indirect 1997-10-01
CAPFINANCIAL PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2003-02-01
CAPFINANCIAL PARTNERS, LLC MANAGER indirect 2015-05-01
CAPFINANCIAL PARTNERS, LLC CHAIRMAN, CEO, PRESIDENT indirect 2015-05-01
PENSIONMARK FINANCIAL GROUP, LLC OWNER indirect 1997-10-01
PENSIONMARK FINANCIAL GROUP, LLC OWNER indirect 1997-10-01
PENSIONMARK FINANCIAL GROUP, LLC PRESIDENT indirect 2015-05-01
CAPFINANCIAL HOLDINGS, INC. MEMBER THE CAPFINANCIAL GROUP, LLC 05/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAPFINANCIAL PARTNERS, LLC MEMBER indirect 2015-05-01
PENSIONMARK FINANCIAL GROUP, LLC MEMBER indirect 2015-05-01

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