# ASL Financial

ASL Financial is a Bank / Wealth / Trust based in Los Gatos, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Los Gatos, United States
- **Region:** North America
- **Address:** Los Gatos, CA, United States
- **Founded:** 2021
- **Assets under management:** Undisclosed
- **Website:** aslfinancial.com

## Regulatory record

- **CRD number:** 115479
- **SEC file number:** 801-121203
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/115479

## About

ASL Financial is an SEC-registered investment adviser in Los Gatos, CA, registered since 2021. The firm manages $187 million in assets, with $179 million on a discretionary basis. It has one employee and one investment adviser.

## Questions

### What regulatory standard does ASL Financial operate under?

ASL Financial is registered with the U.S. Securities and Exchange Commission as an investment adviser, which subjects it to a fiduciary duty requiring it to act in its clients' best interests. This means the firm must disclose all material conflicts of interest, charge reasonable fees, and ensure investment recommendations are suitable given each client's financial circumstances and objectives (public record).

### Who are the key principals or decision-makers at ASL Financial?

ASL Financial does not publicly list its management team or investment committee on its website or regulatory filings, and no interviews or press profiles name its principals. This low-profile posture is common among boutique RIAs that serve a small number of families by referral and do not seek media visibility.

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Last updated: 2026-06-03T20:00:00.000Z

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