Wealth manager, independent · Fremont, CA
Beyond Financial Services
SEC-registered investment adviser · CRD 286350 · SEC 801-108878
At a glance
Beyond Financial Services is an SEC-registered investment adviser based in Fremont, California, with $177 million in regulatory assets under management as of its Form ADV filed February 13, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 115 individual clients. By Form ADV it is a wealth manager, ranked 6,258th of 8,915 wealth managers and 12,862nd of 17,210 SEC-registered advisers by assets.
Main office 510-792-9395beyondfinancialservices.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $177M
- Rank among wealth managers
- #6,258 of 8,915
- Rank among all SEC RIAs
- #12,862 of 17,210
- Rank in California
- #1,479 of 1,873
- Individual clients
- 115
- High-net-worth clients
- 58
- Accounts
- 335
- Discretionary
- 0% of AUM
- Employees
- 4
- Advisory staff
- 1
- Offices
- 2
Owners and executives on its Form ADV
Custody and brokerage
Broker-dealer
Hybrid RIA
Beyond Financial Services is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed February 2026) names Raymond James Financial Services as the broker-dealer its advisers are registered with.
Other Financial Industry Activities and Affiliations Broker-Dealer Kenneth Leung is both an Investment A dvisor Representative of Beyond Financial Services and a Registered Representative of Raymond James Financial Services, Inc.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 58 | $142M | 81% |
| Individuals | 57 | $31M | 17% |
| Charitable organizations | – | $3M | 2% |
| Pension and profit sharing plans | – | $0M | <1% |
Disciplinary disclosures
Beyond Financial Services reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗beyondfinancialservices.com ↗
AtlasMembers
The full record on Beyond Financial Services
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
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- Growth over one, three and five years
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- Rank against 5,724 peers of its type and size
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- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Beyond Financial Services manage?
Beyond Financial Services reports $177 million in regulatory assets under management across 335 accounts, on its Form ADV filed February 13, 2026.
What kind of firm is Beyond Financial Services?
Beyond Financial Services is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Beyond Financial Services’s clients?
By assets, its largest client types are high-net-worth individuals ($142 million, 58 clients); individuals ($31 million, 57 clients); charitable organizations ($3 million).
Does Beyond Financial Services have any disciplinary history?
Beyond Financial Services reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Beyond Financial Services’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-02-13), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →