| Advisor Profile |
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| Name: |
David Buss |
| Phone Number: |
(213) 784-6595 |
| Website: |
Visit Website
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Business Description |
The clients of He'e Nalu Investing, Inc. achieve superior results through asset allocations that harmonize their goals with the current environment of the global financial markets.
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. |
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General Information |
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| Name of Broker/Dealer: |
Fidelity Investments
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| States Willing to do Business in: |
All
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| Years of Experience in Financial Services: |
22
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| Number of Years with Current Firm: |
2.5
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| Work Experience: |
Merrill Lynch 1986-1989
SunAmerica, Inc. 1989-1993
Morgan Stanley 1993-2003
Smith Barney 2003-2006
He'e Nalu Investing, Inc. 2006-present
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| I work with the following types of clients: |
Individual Investors, Non-Profit Organizations, 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) |
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Services |
| Investment Types: |
Mortgages & Real Estate, Bonds, Stocks, Annuities, Insurance, Commodities, Mutual Funds, FOREX & Currency, Options & Futures, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| 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: |
100+
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| Advisor's Number of Managed Clients: |
100+
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| Advisor's Number of Planning Clients: |
100+
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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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| Minimum Portfolio Size for New Managed Accounts: |
$50,000
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| Compensation Methods: |
Flat Fee, Based on Assets, Hourly
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| Prepared By: |
David Buss |
| Most Recent Update: |
09/19/2008 |
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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M.B.A. UCLA, Anderson School of Management, over 20 years experience |
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What is your approach to financial planning? |
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Client financial need/goal focused |
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What services do you offer? |
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Financial Analysis, Financial Planning, Investment Management |
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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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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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With most clients my firm has permission to buy and sell for our clients within the parameters we agree upon in advance. |
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Do you offer any guaranteed results? |
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The only results that my firm offers are guaranteed are guaranteed by the U.S. Government or its agencies. |
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How much risk should I be willing to take? |
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The level of risk you are comfortable with and the level of risk that will attain your financial goals. |
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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 Analysis, Financial Planning, Investment Management |
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What is your experience? How many clients do you currently manage? |
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Over 20 experience in the Financial Services Industry, over 10 years experience as an Army Officer, M.B.A. from one of the top business schools in the world. I currently work with over 100 clients. |
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What financial institution(s) do you represent? |
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I work directly for my clients. |
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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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Do you provide a free initial consultation? |
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Why should I choose you as my financial advisor? |
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You should choose me because I will work as a fiduciary for you. A fiduciary is an entity that is legally required to put your interests above its own interests. My insights to planning and investing are unique as well as highly successful for my clients. I will get you to where you want to be if we decide to work together. |
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What are your qualifications? |
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Over 20 experience in the Financial Services Industry, over 10 years experience as an Army Officer, M.B.A. from one of the top business schools in the world. |
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What is your approach to 401 K plan rollovers? |
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I develop a financial plan with you; then an investment plan with you; and then implement your investment/financial plan with you. |
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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 directly for my clients |
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How many years of experience do you have? |
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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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You should choose me because I will work as a fiduciary for you. A fiduciary is an entity that is legally required to put your interests above its own interests. My insights to planning and investing are unique as well as highly successful for my clients. I will get you to where you want to be if we decide to work together. |
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Do you provide a free initial consultation? |
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