Theodore Lum
Financial advisor at Independent Financial Group, LLC · Danville, CA
Last updated 2026-10-10
Claim your profileTheodore Lum is a financial advisor at Independent Financial Group, LLC in Danville, CA, CRD 1016779. Licenses and exams on the registration: Series 63, Series 65. First registered 2001-01-25.
Registration
- CRD number
- 1016779
- Registration status
- Active
- First registered
- 2001-01-25
- Years of experience
- 25
- States registered
- CA
Licenses and exams
- Series 63
- Series 65
Designations
- Chartered Financial Consultant
Work history
- 2011-08 to 2018-08 · Lpl Financial, LLC · Walnut Creek, CA
- 2018-08 to Present · Independent Financial Group · Walnut Creek, CA
Current employment
- Independent Financial Group, LLC · San Diego, CA
Independent Financial Group, LLC
- Regulatory AUM
- $12,925,435,801
- Registered advisors
- 481
- Offices
- 338
- Clients per advisor
- 55.4 (Low)
- Average AUM per client
- $485.3K (Low)
- High-net-worth client ratio
- 9.2% (Low)
Independent Financial Group, LLC: advisors, services and reported ETF investments
Reported ETF positions
Independent Financial Group reports 712 ETF positions worth $2.8B on Form 13F; the largest are listed.
| Fund | Reported value |
|---|---|
| QQQ — Invesco QQQ Trust, Series 1 | $143.1M |
| IVV — iShares Core S&P 500 ETF | $91.4M |
| SPY — SPDR S&P 500 ETF TRUST | $80.5M |
| VTI — Vanguard Morningstar Total Stock Market ETF | $53.9M |
| PAAA — PGIM AAA CLO ETF | $51.4M |
Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
Noteworthy reported investments
Independent Financial Group's strongest reported position on each research ranking. Institution-level evidence, not this advisor's or any client's holding.
| Ranking | Fund | Reported value | Percentile | Key figures |
|---|---|---|---|---|
| Similar Fund Ranking | CGDV — Capital Group Dividend Value ETF | $33.8M | Top 99.9% | Peer conviction 86.4% · Active return +5.44% |
| Addressable Market | DYNF — iShares U.S. Equity Factor Rotation Active ETF | $17.9M | Top 99.9% | Addressable AUM $14.9T · Peer conviction 86.8% |
| Residual Alpha | CORO — iShares International Country Rotation Active ETF | $14M | Top 99.8% | Residual alpha +5.96% · Residual Sharpe 0.24 |
| Diversification Benefits | NEAR — iShares Short Duration Bond Active ETF | $10.9M | Top 99.3% | Replicability (R²) 35.2% · Residual Sharpe 1.25 |
Historical comparisons from the published research release formed 2026-10-02; not forecasts or recommendations. Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
What this firm offers
Filed by Independent Financial Group, LLC on Form ADV.
Client services
- Financial Planning Services
- Individuals and Small Businesses
- Businesses or Institutional Clients
- Pension Consulting Services
- Selection of Other Advisers
Fee options
- Percentage of Assets Under Management
- Hourly Charges
- Fixed Fees (Other Than Subscription)
- Commissions
- Performance-Based Fees
Business and affiliations
- Broker-Dealer (Registered or Unregistered)
- Insurance Broker or Agent
- Sells Non-Advisory Products or Services
- Broker-Dealer or Municipal Securities Dea
- Insurance Company or Agency
Location
Danville, CA
1 advisor at this office.
Contact
The firm's filed contact details.
- Phone: 858-436-3180
- Website: ifgsd.com
Official record
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