Financial Designs Corporation
- Regulatory AUM
- $508M
- Discretionary
- $371M
- Clients
- 516
- Avg AUM / client
- $984K
- Accounts
- 1,312
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Jan 27, 2026
Investments (13F portfolio — 41 positions, $186,569,698)
13F period Jun 30, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Ishares Tr | CORE S&P TTL STK | $46,196,174 | 281,221 | 24.8% | 9.1% |
| 2 | Ishares Tr | CORE US AGGBD ET | $28,538,606 | 288,327 | 15.3% | 5.62% |
| 3 | Listed Fds Tr | SWAN HEDGED EQTY | $16,199,469 | 607,632 | 8.68% | 3.19% |
| 4 | Invesco Exch Trd Slf Idx Fd | RUSL 1000 DYNM | $15,596,688 | 227,556 | 8.36% | 3.07% |
| 5 | Ishares Tr | CORE MSCI TOTAL | $14,640,782 | 153,403 | 7.85% | 2.88% |
| 6 | Amplify Etf Tr | CWP ENHANCED DIV | $13,956,049 | 305,384 | 7.48% | 2.75% |
| 7 | Victory Portfolios Ii | SHS FR CA FL ETF | $9,912,973 | 216,677 | 5.31% | 1.95% |
| 8 | Thornburg Etf Tr | INTL EQUITY ETF | $9,274,634 | 268,675 | 4.97% | 1.83% |
| 9 | Tidal Trust I | FUND GRAN US ETF | $4,299,630 | 155,502 | 2.3% | 0.85% |
| 10 | Innovator Etfs Trust | DEFINED WLT SHLD | $4,270,556 | 124,615 | 2.29% | 0.84% |
| 11 | Schwab Strategic Tr | US DIVIDEND EQ | $3,985,753 | 125,694 | 2.14% | 0.78% |
| 12 | Schwab Strategic Tr | US BRD MKT ETF | $3,103,801 | 107,175 | 1.66% | 0.61% |
| 13 | Schwab Strategic Tr | US AGGREGATE B | $2,581,007 | 111,587 | 1.38% | 0.51% |
| 14 | Fidelity Wise Origin Bitcoin | SHS | $1,436,343 | 28,136 | 0.77% | 0.28% |
| 15 | Blackrock Etf Trust | ISHARES US EQUIT | $961,389 | 14,136 | 0.52% | 0.19% |
| 16 | Tesla Inc | COM | $938,779 | 2,232 | 0.5% | 0.18% |
| 17 | Nvidia Corporation | COM | $929,732 | 4,647 | 0.5% | 0.18% |
| 18 | Apple Inc | COM | $873,846 | 3,020 | 0.47% | 0.17% |
| 19 | Fidelity Ethereum Fd | SHS | $804,708 | 51,125 | 0.43% | 0.16% |
| 20 | Amazon Com Inc | COM | $798,439 | 3,350 | 0.43% | 0.16% |
| 21 | Pimco Etf Tr | INTER MUN BD ACT | $597,589 | 11,361 | 0.32% | 0.12% |
| 22 | Etfs Gold Tr | PHYSCL GOLD SHS | $579,185 | 15,150 | 0.31% | 0.11% |
| 23 | Spdr Gold Tr | GOLD SHS | $573,568 | 1,557 | 0.31% | 0.11% |
| 24 | Ishares Silver Tr | ISHARES | $532,935 | 9,967 | 0.29% | 0.1% |
| 25 | Pimco Etf Tr | ENHAN SHRT MA AC | $465,641 | 4,619 | 0.25% | 0.09% |
Top 25 of 41 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 338 | $160M | 31.4% |
| High net worth individuals | 177 | $348M | 68.6% |
| Corporations and other businesses | 1 | $1.2K | 0.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Amg, Inc 401(k) Plan Amg, Inc. | 2024 | |
| Hilltop Holdings Inc. 401(k) Plan Hilltop Holdings Inc. | 2024 | |
| Cse, Inc. Profit Sharing 401(k) Plan Cse, Inc. | 2024 | |
| Presbyterian Homes & Family Services, Inc. Dba Humankind 403(b) Plan Presbyterian Homes & Family Services, Inc. Dba Humankind | 2024 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Nino Gabriel Pavan | President | CFP | Jan 1996 (31y) | Less than 5% |
| Morton, Greg, Alan | Chief Compliance Officer/Director Of Finance | Oct 2012 (14y) | Less than 5% | |
| Vaughn Gregory Heydel | Registered representative | CFP | Jan 2011 (16y) | |
| Brandon A Morton | Registered representative | CFP | Mar 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Fdc Holdings Corporation | Shareholder | Jan 2017 | A | 75% or more |
| The 2008 Pavan Family Trust | Shareholder | Jan 2017 | B | ≈ 56.25% – 100% via Fdc Holdings Corporation |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- The 2008 Pavan Family Trust: 75% – 100% of Fdc Holdings Corporation × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (4)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Amg, Inc 401(k) Plan | Amg, Inc. | 0 | $0 | 01/01/2024 |
| Hilltop Holdings Inc. 401(k) Plan | Hilltop Holdings Inc. | 3,609 | $810M | 01/01/2024 |
| Cse, Inc. Profit Sharing 401(k) Plan | Cse, Inc. | 0 | $0 | 01/01/2024 |
| Presbyterian Homes & Family Services, Inc. Dba Humankind 403(b) Plan | Presbyterian Homes & Family Services, Inc. Dba Humankind | 136 | $7.3M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/27/2026 | 942 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $371M (73% of AUM) Jan 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 27, 2026.
View current Form ADV (SEC/IAPD) ↗