Business Description

I provide a patient, disciplined approach for you to accumulate, preserve and transfer wealth. My focus is to align your personal goals with your financial resources so that you have peace of mind and enjoy life to its fullest. Together, we build a strong lifetime relationship based on integrity, trust and confidence.

General Information

Gender:

Male

CRD#:

5209434

States Licensed in:

Illinois

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Businesses

Education

Academic Background

MBA - University of Minnesota

BSBA - Drake University

Services

Investment Types:

Mutual Funds, Exchange Traded Funds (ETFs), Insurance, Bonds, Annuities, Stocks

Qualifications & Memberships

Certifications, Accreditations & Designations:

Certified Public Accountant (CPA)

Securities Licenses:

Series 65

Insurance and Annuity Licenses:

Casualty, Life, Health, Accident, Property, Disability, Long Term Care

Financial Organization Memberships:

American Institute of Certified Public Accountants (AICPA), National Association of Personal Financial Advisors (NAPFA)

Firm Information

Number of Advisors in Office:

Up to 10 employees

Compliance

Registered Investment Advisor:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

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-only financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

see below

Compensation Methods:

Hourly, Based on Assets, Flat Fee

Fee % Based on Assets:

see below

Additional Details on Charges:

Minimum fee for investment advisory services is $300 per calendar quarter.

Asset Management Fee Schedule:
1.00% up to $500,000
.75% from $500,001 to $1,000,000
.50% over $1,000,001

Minimum Fee Charged for Managed Accounts:

$300/qtr

Minimum Fee Charged for Hourly Planning Accounts:

$125

Prepared By:

Scott Baril