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Chief Compliance Officer · Auspicious Financial Planning, LLC

Louis I. Dagen

CRD 2176866 · Named on Form ADV at one SEC-registered adviser

At a glance

Auspicious Financial Planning, LLC, an SEC-registered wealth manager based in SAN Ramon, CA with $278 million in regulatory assets, lists Louis I. Dagen on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

AtlasMembers

Louis’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Louis’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.