| Advisor Profile |
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Business Description |
| To help clients create, grow, preserve and protect their wealth; plan for retirement; and arrange for wealth distribution (during and after life), all in the most tax-advantageous manner. |
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General Information |
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| Years of Experience in Financial Services: |
5
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Education |
| Academic Background |
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BA, Economics - University of Delaware
Certificate in Leadership - University of Utah
Certificate in Financial Planning - University of Delaware (2007) |
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Services |
| Investment Types: |
Stocks Mutual Funds, Bond Mutual Funds, Bonds, Stocks, Annuities, International Investments, Private Equity, Options, Real Estate, Alternative Investments
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Series 65, Series 7, Insurance License (Life & Health; Long Term Care; Specify below), Series 63, Registered Investment Advisor (RIA) (State or SEC) or RIA representative
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Firm Information |
| Number of Advisors in Office: |
Over 1000 employees
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| Assets Managed by Firm: |
Yes
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Compensation & Fees |
| Fee % Based on Assets: |
1.5
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| Additional Details on Charges: |
Up to $500,000 = 1.5ï$500,001 - $2 Million = 1.0ï
$2 Million - and up = Negotiable
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| Prepared By: |
Bradford Winton |
Frequently Asked Questions |
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| Q. |
Do you have a customer satisfaction or refund policy? |
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I have a client service model which I put in writing. However, I do not offer any refund policy. |
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What are your qualifications? What is your education background? |
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2003 graduate of The University of Delaware with a degree in Economics. 2002 graduate of The National Outdoor Leadership School. 2007 Certificate in Financial Planning. |
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What services do you offer? |
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Financial Planning, Retirement Planning, Estate Planning, Insurance Planning, Education Planning. |
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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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Yes, however, I have two strategic partners in house. |
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How are you compensated? How will I pay for your services? |
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I am compensated by a fee of assets under management. In some cases I also charge commissions, or a mix of both. |
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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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Yes. However, other arrangements are available. |
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Do you offer any guaranteed results? |
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How much risk should I be willing to take? |
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That is determined after the intitial consultation. |
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Have you ever been charged with any breaches? |
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No, I have a clean record, with no customer complaints. |
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What services do you provide? What are your specialties? |
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Alternative Investments (Hedge Funds, Private Equity, Real Estate, Managed Futures, TIPS, etc.), Portfolio Management & Consulting. |
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What is your experience? How many clients do you currently manage? |
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5 Years Exp. with 145 clients |
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What financial institution(s) do you represent? |
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I work for Morgan Stanley, however, we have a complete open architecture. |
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How do you charge for your services? |
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Fees, or Commissions, or both. |
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Do you provide a free initial consultation? |
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Why should I choose you as my financial advisor? |
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Please schedule a discovery meeting. |
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What are your management fees? |
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Quotes are based on # of employees, type of plan, amount of assets. |
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What kind of plans do you specialize in? |
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401(k), Safe Harbor 401(k), 403(b), Profit Sharing, and Pensions. For Profit or Non-profit excepted |
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Do you have a minimum requirement for number of employees or total investment value? |
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What type of plans do you offer? |
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401(k), Safe Harbor 401(k), 403(b), Profit Sharing, and Pensions. For Profit or Non-profit excepted |
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Do you offer any additional services? |
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Free personalized advice for each employee. I also provide plan consulting. |
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What are your qualifications? |
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Rule 144 Specialist - This covers all forms of stock options. |
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What is your approach to 401 K plan rollovers? |
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Simplicity, and execution. I walk the client through the entire process, and educate them on the proper investments. |
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How long does the process of rolling over a 401K plan usually take? |
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What financial institutions do you represent? |
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I work for Morgan Stanley, however, we have a complete open architecture. |
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| Q. |
How many years of experience do you have? |
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What are your fees for this service? |
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Based on assets under management. |
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How many 401K rollover clients do you currently manage? |
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Why should I roll over my 401K plan to your firm? |
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Please schedule a discovery meeting. |
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| Q. |
Do you provide a free initial consultation? |
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