Escient Financial


Download Escient Financial’s Form ADV Part 2A/2B
Investment Advisory Services

Escient Financial is a registered investment advisor offering advisory services in the State of California and in other jurisdictions where exempted. Registration does not imply a certain level of skill or training.

The information on this site is not intended as tax, accounting or legal advice, as an offer or solicitation of an offer to buy or sell, or as an endorsement of any company, security, fund, or other securities or non-securities offering. This information should not be relied upon as the sole factor in an investment making decision.

Past performance is no indication of future results. Investment in securities involves significant risk and has the potential for partial or complete loss of funds invested. It should not be assumed that any recommendations made will be profitable or equal any performance noted on this site.

The information on this site is provided “AS IS” and without warranties of any kind either express or implied. To the fullest extent permissible pursuant to applicable laws, Escient Financial disclaims all warranties, express or implied, including, but not limited to, implied warranties of merchantability, non-infringement, and suitability for a particular purpose.

Escient Financial does not warrant that the information on this site will be free from error. Your use of the information is at your sole risk. Under no circumstances shall Escient Financial be liable for any direct, indirect, special or consequential damages that result from the use of, or the inability to use, the information provided on this site, even if Escient Financial or a Escient Financial-authorized representative has been advised of the possibility of such damages. Information contained on this site should not be considered a solicitation to buy, an offer to sell, or a recommendation of any security in any jurisdiction where such offer, solicitation, or recommendation would be unlawful or unauthorized.

Investing involves risk including the potential loss of principal. No investment strategy can guarantee a profit or protect against loss in periods of declining values. Diversification does not guarantee a profit nor is it guaranteed to protect assets.

Escient Financial only transacts business in states where it is properly registered, or exempted from registration. Escient Financial does not accept time-sensitive transactional messages, including orders to buy and sell securities. Do not use email to request, authorize or send securities transfer instructions.

Different types of investments involve varying degrees of risk, and there can be no assurance that any specific investment will either be suitable or profitable for a client’s investment portfolio. No client or prospective client should assume that any information presented and/or made available on this website serves as the receipt of, or a substitute for, personalized individual advice from the advisor or any other investment professional.

Historical performance results for investment indexes and/or categories generally do not reflect the deduction of transaction and/or custodial charges or the deduction of an investment-management fee, the incurrence of which would have the effect of decreasing historical performance results.

Diversification does not protect against loss in a declining market.

Exchange Traded Funds (ETF’s) and mutual funds are subject to risks similar to those of stocks, such as market risk, and investors that have their funds invest in accordance with the portfolios may experience losses. The use of leverage by an exchange-traded fund or mutual fund increases the risk to the fund. The more a fund invests in leveraged instruments, the more the leverage will magnify gains or losses on those investments. The value of an investment and the return on invested capital will fluctuate over time and, when sold or redeemed, may be worth less than its original cost. Additionally, fixed income (bond) ETF’s or mutual funds are subject to interest rate risk which is the risk that debt securities in a portfolio will decline in value because of increases in market interest rates. Investments in foreign investments may incur greater risks than domestic investments.

Confidentiality Notice

All email transmissions, including any attachments, from Escient Financial, are intended only for the person or entity to which it is addressed and may contain privileged and/or confidential material. If the reader of this message is not the intended recipient, you are hereby notified that any dissemination, distribution, or copy of this message is strictly prohibited. If received in error, please notify the sender immediately and delete/destroy the message and any copies thereof. This does not constitute investment advice and is not intended as an offer or solicitation to anyone. It is presented for information purposes only. The products or services described or referenced herein may not be suitable or appropriate for the recipient. Many of the products and services described or referenced herein involve risks and the recipient should not make any decision or enter into any transaction unless the recipient has fully understood all such risks and has independently determined that such decisions or transactions are appropriate for the recipient.

Website Disclaimer

This website is for informational purposes only and does not constitute a complete description of Escient Financial's investment services. This website is in no way a solicitation or offer to sell securities. THE INFORMATION ON THIS WEBSITE IS NOT AN OFFER BY OR ON BEHALF OF ADVISER OR ITS AFFILIATES TO SELL OR SOLICIT AN OFFER TO BUY ANY SECURITY OR OTHER SERVICES.

The presence of this website on the Internet shall not be directly or indirectly interpreted as a solicitation of investment advisory services to persons of another jurisdiction unless otherwise permitted by statute. Follow-up or individualized responses to consumers in a particular state by Escient Financial in the rendering of personalized investment advice for compensation shall not be made without Escient Financial first complying with jurisdiction requirements or pursuant an applicable state exemption.

Information throughout this website, whether stock quotes, charts, articles, or any other statement or statements regarding market or other financial information, is obtained from sources which Escient Financial, and Escient Financial's suppliers believe reliable, but Escient Financial does not warrant or guarantee the timeliness or accuracy of this information. Neither Escient Financial nor its information providers shall be liable for any errors or inaccuracies, regardless of cause, or the lack of timeliness of, or for any delay or interruption in the transmission thereof to the user.

THERE ARE NO WARRANTIES, EXPRESS OR IMPLIED, AS TO ACCURACY, COMPLETENESS, OR RESULTS OBTAINED FROM ANY INFORMATION POSTED ON THIS OR ANY ‘LINKED’ WEBSITE. Escient Financial and its investment adviser representatives only transact business in states where they are properly registered, or excluded or exempted from registration requirements. Information on this website should not be construed as personal investment advice.

Nothing on this website should be interpreted to state or imply that past results are an indication of future performance. Past performance may not be indicative of future results. Therefore, no current or prospective client should assume that the future performance of any specific investment, investment strategy (including the investments and/or investment strategies recommended and/or purchased by adviser), or product made reference to directly or indirectly on this website, or indirectly via link to any unaffiliated third-party website, will be profitable or equal to corresponding indicated performance levels.

Hyperlink Disclosure

The information being provided is strictly as a courtesy/convenience. When you link to any of the web sites provided here, you are leaving this website. Escient Financial makes no representation as to the completeness or accuracy of information provided at these websites.

Escient Financial is not liable for any direct or indirect technical or system issues or any consequences arising out of your access to or your use of third-party technology, web sites, information and programs made available through this website.

When you access one of these web sites, you are leaving Escient Financial's web site and assume total responsibility and risk for use of the web sites you are visiting.

Escient Financial does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to Escient Financial’s web site or incorporated herein, and takes no responsibility thereof.


Escient Financial recognizes the importance of protecting its clients’ privacy. Escient Financial has policies to maintain the confidentiality and security of your nonpublic personal information. The following is designed to help you understand what information that is collected from you and how that information is used to serve your account.

Categories of Information Escient Financial May Collect

In the normal course of business, Escient Financial may collect the following types of information:

• Information you provide in the subscription documents and other forms (including name, address, social security number, date of birth, income and other financial-related information); and

• Data about your transactions with Escient Financial (such as the types of investments you have made and your account status).

• Information you provide during meetings and phone calls with Escient Financial, as well as visuals of you in video and audio of your voice, when recorded or captioned.

How Escient Financial Uses Your Information

Escient Financial uses information provided by you or captured of you in the normal course of its business to provide financial planning, investment advisory, and investment management services. Escient Financial utilizes software, services, and artificial intelligence tools for recording and transcribing meetings and phone calls to assist with the generation of meeting summaries including topics of discussion, key notes, and action items. Any and all nonpublic personal information that Escient Financial receives with respect to its clients who are natural persons is not shared with nonaffiliated third parties which are not service providers to Escient Financial without prior notice to, and consent of, such clients, unless otherwise required by law. In the normal course of business, Escient Financial may disclose the kinds of nonpublic personal information listed above to nonaffiliated third party service providers involved in servicing and administering products and services on Escient Financial's behalf. Escient Financial's service providers include, but are not limited to Escient Financial's administrator, auditors, and legal advisor.

Additionally, Escient Financial may disclose such nonpublic personal information as required by law (such as to respond to a subpoena) or to satisfy a request from a regulator and/or to prevent fraud. Without limiting the foregoing, Escient Financial may disclose nonpublic personal information about you to governmental entities and others in connection with meeting its obligations to prevent money laundering including, without limitation, the disclosure that may be required by the Uniting and Strengthening America Act by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT) Act of 2001 and the regulations promulgated thereunder. In addition, if Escient Financial chooses to dispose of its clients’ nonpublic personal information that it is not legally bound to maintain, Escient Financial will do so in a manner that reasonably protects such information from unauthorized access. The same privacy policy also applies to former clients who are natural persons.

Confidentiality and Security

Escient Financial restricts access to nonpublic personal information about its clients to those employees and agents who need to know that information to provide products and services to its clients. Escient Financial maintains physical, electronic, and procedural safeguards to protect its clients’ nonpublic personal information. Escient Financial respects and values that you have entrusted it with your private financial information, and will work diligently to maintain that trust. Escient Financial is committed to preserving that trust by respecting your privacy as provided herein. Escient Financial has selected services and software that are encrypted, secure, and maintain privacy controls of user information. The artificial intelligence tools used by Escient Financial do not use user information for training of artificial intelligence models.

No mobiel information will be shared with third parties/affiliates for marketing/promotional purposes. All other categories exclude text messaging originator opt-in data and consent; this information will not be shared with any third parties.

If you have any questions regarding this privacy notice, please contact the Chief Compliance Officer, Mike Halper at (805) 864-6555.


This Cookie Policy describes how Escient Financial (also referred to as "the Firm") collects and uses cookies about its clients and/or prospective clients (“you” or “your”) through this website (“Website”).

What Are Cookies?

A cookie is a small file of letters and numbers that is downloaded on to your computer when you visit a website. Cookies are used by many websites and can do a number of things, such as remembering your preferences and counting the number of people looking at a website.

How Escient Financial Uses Cookies

The information Escient Financial collects when guests visit the Website does not identify individual users, however the Firm does collect the amount of traffic visiting the site, which pages are visited and for how long, where visitors come from, and what ISP they are using. Escient Financial uses the information it collects to improve the quality of the Website, enhance or tailor the information it offers, and make your experience on the Website as valuable and efficient as possible. Specifically, Escient Financial uses cookies on this Website for the following purposes:

Analytical purposes: Analytical cookies allow Escient Financial to recognize, measure and track visitors to the Website. This helps the Firm improve and develop the way the Website works, for example, by determining whether Website visitors can find information easily, or by identifying the aspects of the Website that are of the most interest to them.

Usage preferences: Some of the cookies on the Website are activated when visitors to the Website make a choice about their usage of the Website. The Website then ‘remembers’ the settings preferences of the user concerned. This allows the Firm to tailor aspects of the site to the individual user.

Terms and conditions: Escient Financial uses cookies on the Website to record when a Website visitor has seen a policy, such as this one, or provided consent, such as consent to the terms and conditions on the Website. This helps to improve the user’s experience of the Website – for example, it avoids a user from repeatedly being asked to consent to the same terms.

Session management: This type of cookie helps the website track internet usage. Session cookies are temporary and are deleted from your machine when your web browser closes.

Functional purposes: Functional purpose cookies store information that is needed by the Firm's applications to process and operate. For example, where transactions or requests within an application involve multiple workflow stages, cookies are used to store the information from each stage temporarily, in order to facilitate completion of the overall transaction or request.

Third party cookies. When you visit the Website, you may receive cookies that are set by third parties. These cookies are used for the purposes described in the bullet points above. Escient Financial does not control the setting of these third party cookies, so it is suggested you might wish to check the third party websites for more information about their use of cookies and how to manage them.

Please see the Appendix below for a list of the cookies Escient Financial uses on its Website.

Your Consent

By continuing to use this Website, you are agreeing to Escient Financial placing cookies on your computer in order to analyze the way you use the Website. Please read this Cookie Policy carefully for more details about the information the Firm collects when you use this Website.

If you do not wish to accept cookies in connection with your use of this Website, you must stop using this Website or withdraw your consent as stipulated below.

Withdraw Your Consent

You may withdraw your consent at any time by adjusting your web browser settings to delete all cookies. If you do this, however, you may have to manually adjust some of your web browser preferences every time you visit a website. Adjusting these settings may cause some services and functionalities to not work.

Amending web browser settings to disable cookies: You can configure your browser to accept all cookies, reject all cookies, notify you when a cookie is set, delete cookies, open a ‘private browsing’ / ‘incognito’ session (which allows you to browse the internet without storing local data), and install add-ons and plug-ins to extend browser functionality.

Additional Information: You can visit the below websites for additional information on how you can control, block, and/or delete cookies. Additional information may be available elsewhere as well.

Each browser is different, so check the “Help” menu of your browser to learn how to change your cookie preferences. You are always free to decline the cookies if your browser permits, although in that case you may not be able to use certain features on this Website. In addition, a number of companies offer utilities designed to help you visit websites anonymously.

Internet Explorer cookies information
Chrome cookies information
Firefox cookies information
Safari cookies information
Opera cookies information

Internet Advertising Bureau: Produced by the internet advertising industry, Your Online Choices is an online guide to behavioral advertising and online privacy. The Internet Advertising Bureau website allows you to install opt-out cookies across different advertising networks.

Google Analytics: Google has developed a browser add-on to allow users to opt-out of Google Analytics across all websites that use this popular analytics product. For additional information about how you may delete or block cookies please visit:

Additional Information About Do Not Track Signals: For additional information concerning Do Not Track Signals, you can visit the links listed below.

Browser manufacturers provide help pages relating to cookie management in their products. Please see below for more information.

Modern web browsers may have a feature that allows you to tell websites not to track you.