| Advisor Profile |
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| Name: |
Jeffrey J. Brown, CFP® |
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| Disclaimer |
| I maintain a relationship with a Broker/Dealer firm which focuses on supporting the needs of Independent Investment Advisors (RIA). It is through this relationship that I have access to many unique products that may not otherwise be available to a RIA. Hence, securities are offered through Triad Advisors, LLC, which is a Member of FINRA/SIPC. |
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Business Description |
We are a fee-based, independent Registered Investment Advisor (RIA) company located at East Bay Office Park on the Wampanoag Trail in East Providence, RI. Our focus is providing fiduciary-level investment advice and financial planning services to accomplished individuals who are either approaching or are in retirement. We also work wth a select number of successful self-employed and medical professionals, many that simply do not have the time and expertise to devote to their investments.
As a fee-based advisory firm, our financial planning and investment advice is provided to you on a fiduciary basis, which means that you receive the highest level of objectivity in receiving advice concerning your financial security and with managing the investments that you have worked so hard to acquire. |
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General Information |
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| Name of Broker/Dealer: |
Triad Advisors, Inc.
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| States Licensed in: |
RI MA
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| States Willing to do Business in: |
RI MA
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| Years of Experience in Financial Services: |
22
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| Number of Years with Current Firm: |
11
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| I work with the following types of clients: |
Businesses, Individual Investors
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| Investment Types: |
Mutual Funds, Stocks, Bonds, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Alternative Investments
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant, Chartered Life Underwriter (CLU®), Chartered Financial Consultant (ChFC®)
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| Securities Licenses: |
Series 7, Series 24, Series 63, Series 65
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| Insurance and Annuity Licenses: |
Long Term Care, Variable Life, Disability, Although licensed, we do not solicit insurances, Variable Annuity, Life, Annuity
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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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| Firm's Number of Clients: |
150
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| Firm's Number of Planning Clients: |
150
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| Firm's Number of Managed Clients: |
120
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| Assets Managed by Firm: |
$25,000,0000
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| Advisor's Number of Clients: |
150
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| Advisor's Number of Managed Clients: |
120
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| Advisor's Number of Planning Clients: |
40
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| Assets Managed by Advisor: |
$25,000,000
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
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 |
| Fee Structure: |
I am a fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
50,000
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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: |
My hourly rate is lower for general financial planning advice. Flat fee rate is approximate average depending on complexity of plan or review of investment allocation.
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| Minimum Fee Charged for Managed Accounts: |
0.65%
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| Minimum Fee Charged for Hourly Planning Accounts: |
$100
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| Prepared By: |
Jeffrey J. Brown, CFP® |
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