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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PERSONAL FINANCIAL CONSULTANTS, INC.

CRD 26440

LAFAYETTE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:269e60ff-1bf8-5a4a-e629-31a14979f407

Data as of Mar 8, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 8, 2019
12 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $196MItem 5.F on the latest filing (2019-03-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $196M
Private client RAUM: $190MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 211
Individual clients: 115
High net worth clients: 89
Custody, client assets: $3.6M
SEC number: 801-75061
CRD: 26440
Filings on the tape: 12
First filed: Mar 28, 2012
Latest filed: Mar 8, 2019
Organised: Corporation, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KAYFETZ, LOREN, BRUCE	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	03/1990	Mar 28, 2012	Mar 8, 2019
CORRALES, STEFANIE, DAWN	CHIEF OPERATING OFFICER	Na	no	01/2015	Mar 27, 2015	Mar 8, 2019
PANNELL, PATRICIA, A	CHIEF EXECUTIVE OFFICE/CHIEF FINANCIAL OFFICER	Na	no	04/2014	Mar 27, 2015	Mar 8, 2019

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 8, 2019	$196M	$196M	5	3	0	n/a	n/a
2017	Mar 15, 2018	$204M	$203M	5	2	0	n/a	n/a
2016	Mar 7, 2017	$187M	$178M	5	2	n/a	n/a	n/a
2015	Mar 3, 2016	$178M	$170M	7	3	n/a	n/a	n/a
2014	Mar 27, 2015	$188M	$174M	7	4	n/a	n/a	n/a
2013	Mar 17, 2014	$176M	$139M	7	3	n/a	n/a	n/a
2012	Feb 5, 2013	$160M	$0	7	4	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$196M	$204M	-3.8%	$178M	3.4%	5	5	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
EP WEALTH ADVISORS	2	Sep 6, 2019	Aug 30, 2019	PLEASANT HILL, CA	Team lift out	RIA to RIA	100.0%

Relationships

Controls (1)

← KAYFETZ, LOREN, BRUCEOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV

Owns (2)

← CORRALES, STEFANIE, DAWNOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 27, 2015 to presentfactForm ADV
← PANNELL, PATRICIA, AOwnerCHIEF EXECUTIVE OFFICE/CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 27, 2015 to presentfactForm ADV

Registered with (4)

← SHANA LESCH BALLARDAdvisorregistration: previous registration
Sep 14, 2018 to Sep 6, 2019factForm ADV
← JONATHAN B SPECTORAdvisorregistration: previous registration
Oct 7, 2015 to Sep 6, 2019factForm ADV
← NICOLE RUSSO HANSONAdvisorregistration: previous registration
Aug 26, 2011 to Sep 9, 2016factForm ADV
← ERIN ALLISON HADLEYAdvisorregistration: previous registration
Oct 4, 2011 to Oct 6, 2015factForm ADV

Moved with (1)

→ EP WEALTH ADVISORSRegistered adviser2 advisors, team lift out, same day
Sep 6, 2019 to Aug 30, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:269e60ff-1bf8-5a4a-e629-31a14979f407
First observed: Mar 28, 2012
Last observed: Mar 8, 2019 91 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PERSONAL FINANCIAL CONSULTANTS, INC.

CRD 26440

LAFAYETTE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:269e60ff-1bf8-5a4a-e629-31a14979f407

Data as of Mar 8, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:47 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KAYFETZ, LOREN, BRUCE

PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

03/1990

Mar 28, 2012

Mar 8, 2019

CORRALES, STEFANIE, DAWN

CHIEF OPERATING OFFICER

01/2015

Mar 27, 2015

Mar 8, 2019

PANNELL, PATRICIA, A

CHIEF EXECUTIVE OFFICE/CHIEF FINANCIAL OFFICER

04/2014

Mar 27, 2015

Mar 8, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 8, 2019

$196M

n/a

2017

Mar 15, 2018

$204M

$203M

n/a

2016

Mar 7, 2017

$187M

$178M

n/a

2015

Mar 3, 2016

$178M

$170M

n/a

2014

Mar 27, 2015

$188M

$174M

n/a

2013

Mar 17, 2014

$176M

$139M

n/a

2012

Feb 5, 2013

$160M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$196M

$204M

-3.8%

$178M

3.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

EP WEALTH ADVISORS

Sep 6, 2019

Aug 30, 2019

PLEASANT HILL, CA

Team lift out

RIA to RIA

100.0%