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 5166 clients and discretionary assets under management (AUM) of $3,816,186,761 (Form ADV from 2019-03-29). Their last reported 13F filing for Q1 2019 included $219,684,000 in managed 13F securities and a top 10 holdings concentration of 55.93%. Pensionmark Financial Group's largest holding is iShares S&P 500 Growth ETF with shares held of 120,844. Whalewisdom has at least 2 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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03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $219.684 Million
  • Prior Market Value $222.9 Million
  • New Purchases9 stocks
  • Additional Purchases42 stocks
  • Sold out of38 stocks
  • Reduced holdings in58 stocks
  • Top 10 Holdings % 55.93 %
  • Turnover % [1]:36.72%
  • Turnover Alt % [2]: 33.29 %
  • Time Held Top20:0.80 quarters
  • Time Held Top10:0.70 quarters
  • Time Held All:0.93 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: 2.24%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-03-31 - 13F-HR (Subscription required)
  • 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: 194
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: 5166
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.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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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 2019-03-29
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

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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