Pacwest Financial Management, Inc. (Phoenix)


Pacwest Financial Management, Inc. is a large advisory firm based in Phoenix. It manages $225.8 million of regulatory assets for 442 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Arizona and Texas.

Pacwest Financial Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, publication of newsletters, and educational seminars and workshops. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Pacwest Financial Management: assets under management

The assets under management (AUM) of Pacwest Financial Management, Inc. is $225.8 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 12% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $225.8 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $510.86 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pacwest Financial Management, Inc. for their services and products based on a percentage of assets under management and hourly charges. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Pacwest Financial Management, Inc.

Elliot Craig Kauffman joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Grace Lau Chief executive officer 1 Mar 1997 75% - 100% 2766928
Mindy Lee Ying Executive vice president 1 Mar 1997 50% - 75% 4378700
Therese Mary Eisenhauer Portfolio manager/compliance/director of fixed income 1 Apr 2000 Other 1282683
Matthew James Henderson Portfolio manager/director of research 1 Jan 2001 Other 2565726
John Eldon Reimer Portfolio manager/equity research 1 Aug 2001 Other 2066520
Jane Yuchin Hu Operations manager-ca 1 Dec 2001 Other 2472210
Carter Allen Pearl Portfolio manager 1 May 2002 Other 1226543
Christine Marie Bell Director of operations/compliance specialist 1 Jun 2002 Other 1864647
Christine Marie Bell Chief compliance officer 1 Jan 2004 Other 1864647
Elliot Craig Kauffman Chief compliance officer 1 Dec 2006 Other 2511535

Based in Phoenix

The principal office where Pacwest Financial Management, Inc. performs its advisory services is located at 1643 E. Bethany Home Rd., Phoenix, AZ 85016, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 602-997-8882 or by fax 602-997-8887. The normal business hours are 8:00 am - 4:30 pm on Monday - Friday. You can find more information about the New York firm at pacwestfn.com.