| Advisor Profile |
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| Name: |
David Buss |
| Phone Number: |
(213) 784-6595 |
| Website: |
Visit Website
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ADV Form II Link:
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Business Description |
Our firm seeks the best returns possible for our clients in alignment with our clients’ investment goals, their risk tolerance, and current market conditions. We do this in an ethical, trustworthy manner.
He'e Nalu Investing, Inc. is an independent Registered Investment Advisory firm, based in the Santa Monica, California and serving clients throughout the United States.
We provide to individuals and organizations:
*Private wealth management
*Financial analysis of business projects
*Financial plans
*Asset management in the financial markets
We employ proven investment disciplines to outperform relevant benchmarks. These disciplines have been developed through formal education and more than 20 years of investment experience. These models and principals are continually reviewed and improved.
Each client's assets are kept in their own separate accounts at a safe and secure custodian such as Fidelity Investments,LLC |
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General Information |
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| Name of Custodial Firm: |
Fidelity Investments
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| States Willing to do Business in: |
All States
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| Years of Experience in Financial Services: |
22
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| Number of Years with Current Firm: |
3
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| Work Experience: |
Merrill Lynch 1986-1989
SunAmerica, Inc. 1989-1993
Morgan Stanley 1993-2003
Smith Barney 2003-2006
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| I work with the following types of clients: |
Non-Profit Organizations, Individual Investors, Businesses
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| Foreign Languages Serviced: |
German
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Education |
| Academic Background |
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MBA - University of California, Los Angeles (UCLA)
BA, Political Science - Rider University |
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Services |
| Investment Types: |
Annuities, Bonds, Stocks, Insurance, Commodities, Mutual Funds, FOREX & Currency, Options & Futures, Alternative Investments, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
M.B.A.
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| Securities Licenses: |
Series 65
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| Non-Financial Organization Memberships: |
President, Board of Directors, Gramercy Housing Group
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Advisor's Number of Clients: |
135+
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| Assets Managed by Advisor: |
$12,000,000
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Compliance |
| Registered Investment Advisor: |
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 |
| I am a fee-only financial professional: |
Yes
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| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$50,000
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| Compensation Methods: |
Hourly, Based on Assets, Flat Fee
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| Prepared By: |
David Buss |
Frequently Asked Questions |
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| Q. |
Do you have a customer satisfaction or refund policy? |
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What are your qualifications? What is your education background? |
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I have over 20 years experience in the Financial Services Industry helping many people achieve their financial goals. I have an M.B.A. from U.C.L.A. helping me select premium investments. I have over 10 years experience as an Army Officer successfully leading many soldiers safely through intense, threatening situations. |
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What is your approach to financial planning? |
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I develop a financial plan with you to achieve clearly defined goals. Next you and I create an investment plan which strives to fulfill your financial goals. We implement your plans providing you diversified, suitable investments. We monitor and modify your investment portfolio as necessary. |
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What services do you offer? |
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Financial planning to develop clear attainable goals which are the first step to success; Financial Analysis of choices you are considering to help optimize your decisions; Investment Management of your financial portfolio that provides for your financial safety and comfort |
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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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How are you compensated? How will I pay for your services? |
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Either hourly or fee based on assets under management |
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| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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My firm buys and sells investments within guidance provided by each client |
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Do you offer any guaranteed results? |
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The only investment guarantees enjoyed by my clients are those provided by the United States Government which is the best guarantor in the world. |
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How much risk should I be willing to take? |
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You should only take the level of risk that you are comfortable with as well as the level of risk that will help you attain the financial goals you have set for yourself. |
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Have you ever been charged with any breaches? |
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What services do you provide? What are your specialties? |
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Financial planning to develop clear attainable goals which are the first step to success; Financial Analysis of choices you are considering to help optimize your decisions; Investment Management of your financial portfolio that provides for your financial safety and comfort |
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What is your experience? How many clients do you currently manage? |
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I have over 20 years experience in the Financial Services Industry helping many people achieve their financial goals. I have an M.B.A. from U.C.L.A. helping me select premium investments. I have over 10 years experience as an Army Officer successfully leading many soldiers safely through intense, threatening situations. |
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What financial institution(s) do you represent? |
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I work directly for my clients. I do not have any relationships which could potentially conflict with my clients' best interests. |
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How do you charge for your services? |
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Hourly or a fee based on the assets under management,quarterly |
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| Q. |
Do you provide a free initial consultation? |
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Why should I choose you as my financial advisor? |
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Because I am trustworthy and ethical giving you greater comfort. I have over 20 years of investment advisor experience successfully navigating different market conditions for my clients. I have an M.B.A. from U.C.L.A., giving me greater insight into market movements to better select investments for you. I am better than most people at helping you achieve financial independence. |
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What are your qualifications? |
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I have over 20 years experience in the Financial Services Industry helping many people achieve their financial goals. I have an M.B.A. from U.C.L.A. helping me select premium investments. I have over 10 years experience as an Army Officer successfully leading many soldiers safely through intense, threatening situations. |
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| Q. |
What is your approach to 401 K plan rollovers? |
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I develop a financial plan with you to achieve clearly defined goals. Next you and I create an investment plan which strives to fulfill your financial goals. We implement your plans providing you diversified, suitable investments. We monitor and modify your investment portfolio as necessary. |
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| Q. |
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 directly for my clients. I do not have any relationships which could potentially conflict with my clients' best interests. |
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How many years of experience do you have? |
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I have over 20 years experience in the Financial Services Industry helping many people achieve their financial goals. I have an M.B.A. from U.C.L.A. helping me select premium investments. I have over 10 years experience as an Army Officer successfully leading many soldiers safely through intense, threatening situations. |
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What are your fees for this service? |
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Either hourly or a fee based on the assets I manage for you. |
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How many 401K rollover clients do you currently manage? |
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Over 50 clients currently |
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Why should I roll over my 401K plan to your firm? |
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Because I am trustworthy and ethical giving you greater comfort. I have over 20 years of investment advisor experience successfully navigating different market conditions for my clients. I have an M.B.A. from U.C.L.A., giving me greater insight into market movements to better select investments for you. I am better than most people at helping you achieve financial independence. |
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| Q. |
Do you provide a free initial consultation? |
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