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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

HAUSSMANN FINANCIAL INC.

CRD 110747

LAKE FOREST, 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:e0c267d2-a597-c9a0-528b-c5cd3bc06359

Data as of Feb 26, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 11
On other graphs: 0
Observed: Mar 14, 2012 to Feb 26, 2025
35 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: $0Item 5.F on the latest filing (2025-02-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 5
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 0
Individual clients: 0
High net worth clients: 0
SEC number: 801-72313
CRD: 110747
Filings on the tape: 35
First filed: Mar 14, 2012
Latest filed: Feb 26, 2025
Organised: Corporation, CA

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
HAUSSMANN, TRUDY, DIANE	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	08/1996	Mar 14, 2012	Jun 26, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Pasadena	CA	United States	7	yes

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
2024	Feb 26, 2025	$0	$0	5	4	1	n/a	n/a
2023	Jan 22, 2024	$779M	$772M	8	7	1	n/a	n/a
2022	Feb 13, 2023	$753M	$746M	14	6	1	n/a	n/a
2021	Jan 21, 2022	$879M	$869M	14	6	5	n/a	n/a
2020	Mar 4, 2021	$749M	$740M	14	6	5	n/a	n/a
2019	Mar 3, 2020	$668M	$647M	14	6	5	n/a	n/a
2018	Feb 18, 2019	$585M	$434M	13	6	5	n/a	n/a
2017	Feb 1, 2018	$611M	$495M	13	6	5	n/a	n/a
2016	Mar 30, 2017	$542M	$29.3M	13	6	n/a	n/a	n/a
2015	Feb 3, 2016	$484M	$29.6M	13	6	n/a	n/a	n/a
2014	Feb 9, 2015	$492M	$30.8M	14	7	n/a	n/a	n/a
2013	Feb 27, 2014	$404M	$27.1M	14	7	n/a	n/a	n/a
2012	Mar 15, 2013	$280M	$7.1M	13	6	n/a	n/a	n/a
2011	Mar 14, 2012	$166M	$28.4M	n/a	n/a	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
2024	$0	$779M	-100.0%	$879M	n/a	5	8	1	1

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
LPL FINANCIAL LLC	4	Apr 28, 2025	Feb 3, 2025	LAKE FOREST, CA	Firm absorbed	Other	100.0%
CWM, LLC	3	Jan 17, 2025	Jan 16, 2025	LAKE FOREST, CA	Team lift out	RIA to ibd	42.9%

Relationships

Registered with (7)

← TRUDY DIANE HAUSSMANNAdvisorregistration: previous registration
Feb 11, 1997 to Apr 28, 2025factForm ADV
← JASON AARON SIMARDAdvisorregistration: previous registration
Nov 19, 2003 to Apr 28, 2025factForm ADV
← PATRICK MILLER DANLYAdvisorregistration: previous registration
May 15, 2007 to Apr 28, 2025factForm ADV
← Madison Grace AndersonAdvisorregistration: previous registration
Aug 19, 2021 to Apr 28, 2025factForm ADV
← JOHN PATRICK DUNPHYAdvisorregistration: previous registration
Feb 11, 1997 to Jan 17, 2025factForm ADV
← KIHO CHOIAdvisorregistration: previous registration
Feb 11, 1997 to Jan 17, 2025factForm ADV
← DOMINICA L HENDERSONAdvisorregistration: previous registration
Sep 25, 2013 to Jan 17, 2025factForm ADV

Moved with (2)

→ LPL FINANCIAL LLCRegistered adviser4 advisors, firm absorbed, same day
Apr 28, 2025 to Feb 3, 2025factForm ADV
→ CWM, LLCRegistered adviser3 advisors, team lift out, same day
Jan 17, 2025 to Jan 16, 2025factForm ADV

Controls (1)

← HAUSSMANN, TRUDY, DIANEOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 14, 2012 to Jun 26, 2024factForm ADV

Dated events

Occurred
May 2, 2025
Left the SEC roster
Haussmann Financial Inc. no longer on the SEC adviser roster (last listed 2025-03-06)
Form ADVobserved 6 days ago
0 USD_RAUM
Occurred
Apr 28, 2025
Firm absorbed
Haussmann Financial Inc.'s advisors moved to LPL Financial LLC (Lake Forest, CA): 4 of 4 registered, on the same day
Form ADVobserved 5 days ago
4 advisors
Occurred
Apr 28, 2025
Advisor changed firm
Jason Aaron Simard left Haussmann Financial Inc. for Lpl Financial Llc (registered 2025-02-03)
Form ADVobserved 6 days ago
Occurred
Apr 28, 2025
Advisor changed firm
Madison Grace Anderson left Haussmann Financial Inc. for Lpl Financial Llc (registered 2025-02-03)
Form ADVobserved 6 days ago
Occurred
Apr 28, 2025
Advisor changed firm
Patrick Miller Danly left Haussmann Financial Inc. for Lpl Financial Llc (registered 2025-02-03)
Form ADVobserved 6 days ago
Occurred
Apr 28, 2025
Advisor changed firm
Trudy Diane Haussmann left Haussmann Financial Inc. for Lpl Financial Llc (registered 2025-02-03)
Form ADVobserved 6 days ago
Occurred
Feb 26, 2025
Regulatory AUM changed
Haussmann Financial Inc. reported RAUM $0, down 100% from $778.5M (2024-06-26 to 2025-02-26)
Form ADVobserved 6 days ago
$-779M
Occurred
Jan 17, 2025
Team lift-out
3 advisors left Haussmann Financial Inc. (Lake Forest, CA) for Cwm, LLC on the same day
Form ADVobserved 5 days ago
3 advisors
Occurred
Jan 17, 2025
Advisor changed firm
John Patrick Dunphy left Haussmann Financial Inc. for Cwm, Llc (registered 2025-01-06)
Form ADVobserved 6 days ago
Occurred
Jan 17, 2025
Advisor changed firm
Kiho Choi left Haussmann Financial Inc. for Cwm, Llc (registered 2025-01-06)
Form ADVobserved 6 days ago
Occurred
Jan 17, 2025
Advisor changed firm
Dominica L Henderson left Haussmann Financial Inc. for Cwm, Llc (registered 2025-01-16)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e0c267d2-a597-c9a0-528b-c5cd3bc06359
First observed: Mar 14, 2012
Last observed: Feb 26, 2025 19 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.

HAUSSMANN FINANCIAL INC.

CRD 110747

LAKE FOREST, 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:e0c267d2-a597-c9a0-528b-c5cd3bc06359

Data as of Feb 26, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:35 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HAUSSMANN, TRUDY, DIANE

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

08/1996

Mar 14, 2012

Jun 26, 2024

City

State

Country

Employees

Also broker-dealer

Pasadena

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Feb 26, 2025

n/a

2023

Jan 22, 2024

$779M

$772M

n/a

2022

Feb 13, 2023

$753M

$746M

n/a

2021

Jan 21, 2022

$879M

$869M

n/a

2020

Mar 4, 2021

$749M

$740M

n/a

2019

Mar 3, 2020

$668M

$647M

n/a

2018

Feb 18, 2019

$585M

$434M

n/a

2017

Feb 1, 2018

$611M

$495M

n/a

2016

Mar 30, 2017

$542M

$29.3M

n/a

2015

Feb 3, 2016

$484M

$29.6M

n/a

2014

Feb 9, 2015

$492M

$30.8M

n/a

2013

Feb 27, 2014

$404M

$27.1M

n/a

2012

Mar 15, 2013

$280M

$7.1M

n/a

2011

Mar 14, 2012

$166M

$28.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$779M

-100.0%

$879M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Apr 28, 2025

Feb 3, 2025

LAKE FOREST, CA

Firm absorbed

Other

100.0%

CWM, LLC

Jan 17, 2025

Jan 16, 2025

LAKE FOREST, CA

Team lift out

RIA to ibd

42.9%