| Advisor Profile |
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Business Description |
Wynn Capital Management specializes in the creation and active management of Exchange Traded Fund portfolios. My strategy is called "Active Indexing."
In concert with my clients I create highly diversified and cost efficient ETF/Index Fund portfolios with a current average annual expense ratio of 0.19%. I then add value through investment selection, timing, re-balancing, tax loss harvesting, options hedging and numerous other value added services.
My goal is to help you reach your goal. I show you how to minimize your cost, reduce your risk and maximize your performance.
I?ve been in the investment business for 25 years and for 21 years I?ve been a professional trader/investor.
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General Information |
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| Name of Custodial Firm: |
TD Ameritrade
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| States Licensed in: |
CA, FL
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| States Willing to do Business in: |
All
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| Years of Experience in Financial Services: |
27
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| Number of Years with Current Firm: |
6
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| Work Experience: |
27 years in finance including 16 years as a full time, self financed professional trader/investor. 11 years as a equity and derivatives trader on Pacific Stock Exchange. 6 years as Registered Investment Advisor/Portfolio Manager.
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| I work with the following types of clients: |
Businesses, Non-Profit Organizations, 401k plans, Individual Investors
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Education |
| Academic Background |
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Stetson University (1974)
Florida State University (1975) |
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Services |
| Investment Types: |
Alternative Investments, Bonds, Stocks, Annuities, Commodities, Mutual Funds, Options & Futures, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
RIA
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| Securities Licenses: |
Series 66
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| Financial Organization Memberships: |
Paladin Registry, Financial Planning Association (FPA)
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| Non-Financial Organization Memberships: |
President, San Lorenzo Valley Chamber of Commerce
Chamber Member: Aptos, Santa Cruz, Capitola-Soquel, Scotts Valley
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
43
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| Firm's Number of Planning Clients: |
0
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| Firm's Number of Managed Clients: |
43
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| Assets Managed by Firm: |
$10,000,000.00
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| Advisor's Number of Clients: |
43
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| Advisor's Number of Managed Clients: |
43
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| Advisor's Number of Planning Clients: |
0
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| Assets Managed by Advisor: |
10,000,000.00
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Compliance |
| Registered Investment Advisor: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-only financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000.00
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| Compensation Methods: |
Based on Assets, Hourly, Flat Fee
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| Fee % Based on Assets: |
1.25
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| Additional Details on Charges: |
100k to 500k 1.25% Annually
500k to 2,500k 1.00% Annually
2,500k and above 0.75% Annually
Passive Option 0.50% Annually.
Create portfolio, report, consult and rebalance quarterly.
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| Prepared By: |
Thomas Wynn |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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Yes. Client satisfaction is the core of our business. |
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What are your qualifications? What is your education background? |
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We work closely with a local, independent and highly qualified CFP for planning needs. |
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What is your approach to financial planning? |
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We do routine financial planning in house. For comprehensive financial planning we refer out to our network of dedicated, fee only experts. |
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What services do you offer? |
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We offer direct access to a high quality money manager. We manage all types of investment accounts including IRAs, Roths, 401ks, Trusts, 529s etc. We create cusotm investment plans, implement, monitor, rebalance and report. We offer conventional and SRI portfolios. |
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How many clients do you currently manage? |
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Will you be the only person working with me? |
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No. You'll be working with the portfolio manager and the office manager. |
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How are you compensated? How will I pay for your services? |
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WCM is fee only. We receive 100% of our compensation from our clients. We do not recieve any other compensation from any other source. |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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WCM can manage accounts with full, partial or no discretion. That is your decision. Currently 100% of my clients have chosen full discretion. |
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Do you offer any guaranteed results? |
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I guarantee great service and the highest level of integrity, access and transparency. Performance cannot be predicted or guaranteed. |
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How much risk should I be willing to take? |
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A sober discussion of your risk tolerance and financial condition will help estimate your risk. There is no test that can accurately predict your reation to market events. Your risk tolerance will be determined when events reveal them. |
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Have you ever been charged with any breaches? |
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What services do you provide? What are your specialties? |
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We provide complete investment management including custom portfolios, risk management, rebalacing and reporting. Our specialties include ETF portfolios, high income portfolios, hedging strategies, tax efficient portfolios, SRI portfolios. |
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