Business Description |
Sweetwater Investments was named one of the Top 100 independent investment firms by Barron's in 2007.
Sweetwater's mission is to create for each client a financial plan fully reflective of the client's goals, perceptions, experience and needs. At the end of our process the finished plans will be to one the client would have created if they had the time, energy and aptitude.
Sweetwater combines its 30 years of experience in the financial markets with academic learning and congruent philosophy and methodology to create a fully client focused experience.
We seek to be our client's servant leader in the financial markets and to create a service profile so extraordinary that each client will unreservedly refers us their friends. |
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General Information |
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| States Willing to do Business in: |
All States
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| Years of Experience in Financial Services: |
32
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| Number of Years with Current Firm: |
19
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| I work with the following types of clients: |
Individual Investors
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Education |
| Academic Background |
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Degrees in History, Psychology and Sociology - Parsons College, Fairfield, IA (1968)
Graduate Studies at University of Chicago Graduate School of Business interrupted by military service. |
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Services |
| Investment Types: |
Alternative Investments, Options & Futures, Bonds, Stocks
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Certified Senior Advisor (CSA)®
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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Compliance |
| Registered Investment Advisor: |
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: |
$250,000
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| Compensation Methods: |
Based on Assets, Hourly
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| Fee % Based on Assets: |
1%
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| Additional Details on Charges: |
We offer a flexible fee system based on what the client desires to accomplish. When we act as an investment consultant we are only compensated by hourly fee to maintain a conflict free view of the client's situation. Our hourly fee is also charged when we act for clients in performing due diligence on investments currently being considered.
Before any terms of service are agreed to we provide full disclosure of our fee structure and an estimate of the cost to the cleint.
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| Prepared By: |
Dennis Gibb |
