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TH

Thomas A. Hoffman

ASSET ONE WEALTH MANAGEMENT
Lake Forest, CA
Some features on this profile are disabled
CRD#: 1000278
TH

Professional summary

Thomas Alan Hoffman, who also goes by Thomas A Hoffman, Tom Hoffman, is a registered financial advisor currently at ASSET ONE WEALTH MANAGEMENT, LLC located in Lake Forest, California and PURSHE KAPLAN STERLING INVESTMENTS located in Bellevue, Washington.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Thomas has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas A Hoffman | Tom Hoffman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Alan Hoffman's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 22, 2026 - Present

ASSET ONE WEALTH MANAGEMENT, LLC

RIA
CRD#: 336350
Lake Forest, CA
Current

November 2, 2017 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 11201 Se 8th St Suite 105, Bellevue, WA 98004
BD
CRD#: 35747
Bellevue, WA
Past

November 1, 2019 - March 30, 2026

RBA WEALTH MANAGEMENT, LLC

RIA
CRD#: 291029
Newport Beach, CA
Past

November 3, 2017 - January 3, 2018

PKS ADVISORY SERVICES, LLC

RIA
CRD#: 125648
ALBANY, NY
Past

August 31, 2010 - November 6, 2017

MORGAN STANLEY

RIA
CRD#: 149777
NEWPORT BEACH, CA
Past

August 27, 2010 - November 6, 2017

MORGAN STANLEY

BD
CRD#: 149777
NEWPORT BEACH, CA
Past

December 31, 1997 - September 7, 2010

LPL FINANCIAL LLC

RIA
CRD#: 6413
IRVINE, CA
Past

December 6, 1988 - September 7, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
IRVINE, CA
Past

June 9, 1987 - January 1, 1989

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 28, 1981 - June 12, 1987

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(10/15/2018)
RR
California
(11/2/2017)
IAR
California
(4/22/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/12/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/16/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/26/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 3
Date: 7/8/1986
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/1981
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AO
ASSET ONE WEALTH MANAGEMENT, LLC
AK WEALTH MANAGEMENT | ASSET ONE WEALTH MANAGEMENT, LLC

CRD#: 336350 / SEC#: 801-132828

RIA
Registered Investment Advisory firm - (6/6/2025 120-Day Approval)
PREMIUM
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Contact information

Main Address
11201 Se 8th Street, Suite 105, Bellevue, WA 98004
Mailing Address
Phone number
(425) 504-830
Established
Firm type
Fiscal year end
# of Employees
13

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (11/10/2025)

Regulatory assets under management

Total Number of Accounts1,754
AUM (Assets Under Management)$ 435,591,345

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ASSET ONE WEALTH MANAGEMENT, LLC

CRD#: 336350Lake Forest, CA

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Contact information

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