| Advisor Profile |
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Business Description |
| Hargrave & Associates LLC is a California registered investment advisor. We offer fee-based financial advice to individuals and businesses. Financial planning and investment management are offered on a fee-only basis, for which we are compensated by billing hourly, project or fixed fee, or as a percentage of assets under management. We are also licensed to provide risk management advice and insurance products for which we can receive commissions. In all cases, we assume the role of the client's fiduciary, in that we always place the interests of the client above our own. |
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General Information |
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| Insurance License#: |
0F72916
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| Years of Experience in Financial Services: |
3
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| Number of Years with Current Firm: |
3
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| Work Experience: |
Retired logistics manager pursuing my passion for Financial Planning.
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| I work with the following types of clients: |
Non-Profit Organizations, Businesses, Investment Clubs, Individual Investors
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Education |
| Academic Background |
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BA - Villanova
MBA - National University
MA - Claremont Graduate University |
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Services |
| Investment Types: |
Insurance, Mutual Funds, Annuities, Exchange Traded Funds (ETFs), Bonds, Stocks
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant
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| Securities Licenses: |
Series 65
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| Insurance and Annuity Licenses: |
Long Term Care, Annuity, Health, Life
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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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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
40
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| Firm's Number of Planning Clients: |
30
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| Firm's Number of Managed Clients: |
30
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| Assets Managed by Firm: |
$10 Million
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| Advisor's Number of Clients: |
40
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| Advisor's Number of Managed Clients: |
30
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| Advisor's Number of Planning Clients: |
30
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| Assets Managed by Advisor: |
$10 Million
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Compliance |
| 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: |
$100,000
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| Compensation Methods: |
Hourly, Flat Fee, Based on Assets
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| Fee % Based on Assets: |
1%
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| Minimum Fee Charged for Managed Accounts: |
$1500
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| Minimum Fee Charged for Hourly Planning Accounts: |
$200
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| Minimum Fee Charged for Flat Fee Accounts: |
$1500
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| Prepared By: |
Joseph Lyons |
Frequently Asked Questions |
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