Business Description

Our mission is to guide our clients to financial goal achievement by assisting them in making educated, intelligent financial decisions. We deliver these services to our clients through customized advice services including Comprehensive Financial Planning and Investment Management. We consistently strive to go beyond our client's expectations. Our greatest reward is our client's peace of mind.

General Information

Gender:

Male

CRD#:

4948365

Firm CRD#:

134509

SEC File#:

801-68629

Insurance License#:

195822

Name of Custodial Firm:

Charles Schwab Institutional

States Licensed in:

AZ,CA,NM,TX,ND,MO

States Willing to do Business in:

ALL

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors

Education

Academic Background

BS, Global Business with a focus on Financial Management - Arizona State University

Services

Investment Types:

Real Estate, Exchange Traded Funds (ETFs), Bonds, Stocks, Annuities, Mutual Funds, Alternative Investments

Qualifications & Memberships

Certifications, Accreditations & Designations:

Insurance License (Life & Health; Long Term Care; Specify below), Accredited Asset Management Specialist (AAMS®)

Securities Licenses:

Series 65

Insurance and Annuity Licenses:

Health, Annuity, Long Term Care, Life, Disability

Firm Information

Number of Advisors in Office:

Up to 10 employees

Firm's Number of Clients:

300

Firm's Number of Planning Clients:

300

Firm's Number of Managed Clients:

300

Assets Managed by Firm:

$50M

Advisor's Number of Clients:

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$15M

Compliance

Registered Investment Advisor:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Based on Assets, Hourly, Flat Fee

Fee % Based on Assets:

1-1.5%

Hourly Rate:

200

Additional Details on Charges:

The Wealth Management Service Annual Fee Structure
$0 to $250,000 1.50%
$250,000 to $500,000 1.35%
$500,000 to $2,000,000 1.20%
$2,000,000 to $4,000,000 1.10%
$4,000,000 and up negotiable
Minimum Annual Fee $1,500

Prepared By:

Jay Gehrke