Business Description

We are primarily asset managers. Client goals are our number one priority and we offer a personalized investment management service. We manage individual and joint accounts, trusts, IRAs, custodial as well as non-profit endowment portfolios. Most of our clients are from Rhode Island and Southern Massachusetts.

We build diversified portfolios using common stocks and bonds to meet our clients' investment objectives. Clients have brokerage (Charles Schwab or Scottrade) accounts that we manage using a limited power of attorney. Our annual fee, billed quarterly in arrears, is one percent of the assets.

Our analytical system was created by Brigadier General John C. (Jack) Burney, US Army, after he retired from active duty. Jack serves as the chairman of our board.

General Information

Gender:

Male

CRD#:

2242970

Firm CRD#:

106945

SEC File#:

801-10232

Name of Custodial Firm:

Charles Schwab and Scottrade

States Licensed in:

All 50 states

States Willing to do Business in:

All 50 states

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Manage investment portfolios for The Burney Company. Client account registrations include individuals, IRAs, Trusts, non-profits. I run my own office of the company.

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations, Investment Clubs

Education

Academic Background

BSCE - Penn State (1983)

Services

Investment Types:

Mutual Funds, Stocks, Bonds

Qualifications & Memberships

Certifications, Accreditations & Designations:

Chartered Financial Analyst (CFA)

Securities Licenses:

Series 2, Series 63, Series 65

Financial Organization Memberships:

CFA Institute

Non-Financial Organization Memberships:

Aquidneck Land Trust, Potter League Animal Shelter, St. Barnabas Church, Child and Family Services

Firm Information

Number of Advisors in Office:

Up to 10 employees

Firm's Number of Clients:

3000

Firm's Number of Managed Clients:

3000

Assets Managed by Firm:

$418,973,714

Advisor's Number of Clients:

200

Advisor's Number of Managed Clients:

200

Assets Managed by Advisor:

$47,517,963

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-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$50,000

Compensation Methods:

Based on Assets

Fee % Based on Assets:

1.00%

Prepared By:

Richard Bauchspies, CFA