|
|
|
|
|
Business Description |
| Ascent Advisors LLC is an Ohio-based registered investment advisor that abides by the strictest fiduciary standards. We provide fee-based, independent, and objective managed portfolio consulting services for households with a minimum of $250K in financial assets* that seek a comprehensive evaluation of their current investment portfolios and our professional recommendation of alternative investment portfolios that may repair and/or improve their current situations and conform to their lifetime goals. *$50K account minimum. |
|
| |
|
|
General Information |
|
|
|
|
|
|
| Name of Custodial Firm: |
Choices of Fidelity, Schwab, TD Ameritrade, PFPS, Pershing
|
|
|
|
| States Willing to do Business in: |
Ohio/Kentucky
|
|
| Years of Experience in Financial Services: |
25
|
|
| Number of Years with Current Firm: |
1
|
|
| Work Experience: |
Business development leader at National and Regional Financial Services firm with practical experience in cumulatively coaching over 200 Financial Consultants and overseeing total custodied assets of $6 Billion+. Coaching methods consisted of a greater application of fee-based practices, financial planning tools, and following fiduciary principles with client relationships.
|
|
| I work with the following types of clients: |
Non-Profit Organizations, Individual Investors, Businesses
|
|
| Foreign Languages Serviced: |
Spanish, Portuguese
|
|
| |
|
Education |
| Academic Background |
| |
| Securities Industry Institute, Wharton School, University of Pennsylvania; Masters Business Administration, Rensselaer Polytechnic Institute; Bachelor of Arts,University of Pittsburgh. |
|
| |
|
Services |
| Investment Types: |
Mutual Funds, Alternative Investments, Insurance, Annuities, Stocks, Bonds
|
|
| |
|
Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Chartered Wealth Advisor
|
|
| Securities Licenses: |
Series 8, Series 63, Series 65, Series 7, Series 3
|
|
| Insurance and Annuity Licenses: |
Variable Annuity, Accident, Health, Life
|
|
| Non-Financial Organization Memberships: |
West Chester Chamber Alliance
Hispanic Chamber of Commerce
Pitt Alumni Association
|
|
| |
|
Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
|
|
| Firm's Number of Clients: |
<100
|
|
| Firm's Number of Planning Clients: |
<100
|
|
| Firm's Number of Managed Clients: |
<100
|
|
| Assets Managed by Firm: |
<$10MM
|
|
| Advisor's Number of Clients: |
<100
|
|
| Advisor's Number of Managed Clients: |
<100
|
|
| Advisor's Number of Planning Clients: |
<100
|
|
| Assets Managed by Advisor: |
<$10MM
|
|
| |
|
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
|
|
| 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: |
<1.50%
|
|
|
|
|
|
| Additional Details on Charges: |
Asset billing is in quarterly arrears.
|
|
| Minimum Fee Charged for Managed Accounts: |
0
|
|
| Minimum Fee Charged for Hourly Planning Accounts: |
0
|
|
| Minimum Fee Charged for Flat Fee Accounts: |
0
|
|
| |
|
| |
| |
| Prepared By: |
Carlos Reisen |
Frequently Asked Questions |
 |
| Q. |
Do you have a customer satisfaction or refund policy? |
| |
We endeavor to achieve 100% client satisfaction. |
|
| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
| |
The buying and selling is done by reputable portfolio managers who will make their decisions based on the objectives and selected styles of the investments. |
|
| Q. |
Do you offer any guaranteed results? |
|
| Q. |
How much risk should I be willing to take? |
| |
The due diligence questionnaire will help determine the risk level you are comfortable with. |
|
| Q. |
Have you ever been charged with any breaches? |
|
| Q. |
What services do you provide? What are your specialties? |
| |
100% consulting services for managed portfolios, whether using mutual funds, ETF, or stocks. After completing a due diligence questionnaire and uploading the client's current investment portfolios I help the client analyze the best choices for their lifetime goals. |
|
| Q. |
What is your experience? How many clients do you currently manage? |
| |
25 years of hands-on experience learning all the mistakes that have been made. |
|
| Q. |
What financial institution(s) do you represent? |
| |
Morningstar Investment Services, Inc. |
|
| Q. |
How do you charge for your services? |
| |
percentage of assets; maximum of 1.5%. |
|
| Q. |
Do you provide a free initial consultation? |
|
| Q. |
Why should I choose you as my financial advisor? |
| |
Honesty, full disclosure as to all fees, intelligent investing, as a fiduciary I am obligated to place your interests first. |
|
| Q. |
What are your management fees? |
|
| Q. |
What kind of plans do you specialize in? |
|
| Q. |
Do you have a minimum requirement for number of employees or total investment value? |
|
| Q. |
What type of plans do you offer? |
| |
Managed mutual fund portfolios |
|
| Q. |
Do you offer any additional services? |
|
| Q. |
What are your qualifications? |
| |
25 years of financial services industry experience. please visit our website www.ascentadvisorsllc.com |
|
|
|
