A resident of Monmouth County since 1968, Dan is a graduate of Monmouth University in West Long Branch with a B.S. in Psychology. In 1999 Dan recognized the need for personalized investment advice by working with employees of the small business pension plan market. As a result, he has become a strong influence in crafting a solution for this underserved population.
Dan specializes in delivering wealth management solutions to a growing affluent population. His customizable six step process designs and implements clear strategies that have the potential to increase the probability of long term financial security.
His twenty years as a trader in the U.S. Treasury markets for firms including Garban LLC and Cantor Fitzgerald have provided him with an immense and diverse experience in the global capital markets.
Today Dan delivers his consulting process to clients by designing and implementing sound strategies for pursuing their wealth management and preservation goals while collaborating with their other trusted advisers, including their legal team and tax team.
In his spare time, Dan continues his discipline as a martial artist and travels with his family in pursuit of exotic surfing destinations.
Assisting clients in understanding where they are today can be critical in setting attainable financial and personal goals for the future. We are a fee based "Wealth Management" firm that takes a comprehensive approach to clarifying and organizing our client's financial affairs. We provide ongoing education and insight to navigating the complexities of growing and maintaining "Wealth" while our clients benefit from a more balanced life. Our pledge is to provide quality information so that individuals may make sound choices about their financial future. Ultimately, our greatest impact may be the confidence that comes with working with an Adviser that will educate his clients in the options that are available,and implement those strategies in simple and easy to understand terms.
General Information |
| Firm Start Year: | 1998 | |
| No.of Employees: | 5-9 | |
| Insurance License#: | 9943468 |
| Name of Broker/Dealer: | Cetera Advisors LLC |
| Name of Custodial Firm: | Fidelity, Assetmark Trust, TD Ameritrade |
| States Licensed in: | All States as an RIA |
| Number of Years with Current Firm: | 19 |
| Work with the following types of clients: | Pension Plans, Non-Profit Organizations, Individual Investors, Businesses |
| Advisory Services Provided: | Tax Advice and Services, Financial Planning for Individuals, Money Management, Wealth Management, Financial Advice & Consulting, Financial Advice & Consulting, Portfolio Management |
Services |
| Investment Types: | Fee Based Managed Accounts, Annuities, Mutual Funds, Bonds, Stocks, Insurance, Commodities, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI) |
| Can meet clients in the following ways: | Our Office, Via Phone, Your Office, Video Conference |
Qualifications & Memberships |
| Insurance and Annuity Licenses: | Variable Life, Long Term Care, Annuity, Variable Annuity, Life, Disability |
| Financial Organization Memberships: | Financial Planning Association (FPA) |
Firm Information |
| Firm's Number of Clients: | 92 |
| Firm's Number of Planning Clients: | 35 |
| Firm's Number of Managed Clients: | 92 |
| Assets Managed by Firm: | $40mm |
| Advisor's Number of Clients: | 92 |
| Advisor's Number of Managed Clients: | 92 |
| Advisor's Number of Planning Clients: | 35 |
| Assets Managed by Advisor: | $40mm |
Compensation and Fees |
| Fee Structure: | Fee-Based |
| Minimum Portfolio Size for New Managed Accounts: | 500k |
| Compensation Methods: | Flat Fee, Based on Assets, Hourly |
| Fee % Based on Assets: | 1.0%-1.50% |
| Hourly Rate: | $300 |
| Flat Fee Rate: | $2000 |
| Additional Details on Charges: | Initial consultation will determine which service is most appropriate for a client. |
Education |
| BS - Psycology |
Monmouth University - West Long Branch, New Jersey
September 1975-June 1979 |
Financial Services |
Financial Advice & Consulting"DC Strategies" is a Wealth Management firm that takes a comprehensive approach to clarifying and organizing our clients financial affairs. We provide ongoing education and insight to navigating the complexities of growing and maintaining Wealth while our clients benefit from a more balanced life. Our pledge is to provide quality information so that our clients may make sound choices about their financial future. |
Financial Planning for Individuals"DC Strategies" Investment Management provides its clients with strategies and solutions to help get them where they want to go. We will help you understand your current financial situation and clarify your goals. We then provide you with a written plan designed to help you to meet your goals. |
Portfolio ManagementWe will work with you to create an investment strategy that seeks to keep you on course in a variety of market conditions, we need to understand your circumstances and what you want to accomplish. We work with you to answer a number of key questions. What are your goals, including retirement, providing for loved ones, major purchases, or anything else important to you? Do you need access to your capital in a few decades, a few years or sooner? What is your appetite for risk? (Which types of investments would be best for you)? Annuity Strategy, Privatly Managed Account Strategy, Mutual Funds, Basket of Individual Securities. |
Tax Advice and ServicesTax Planning: Personalized review of your tax return to highlight opportunities for maximizing tax reduction strategies Free consultation with your tax preparer Tax harvesting/cost basis reporting Recommendations of tax solutions including tax advantaged, tax free, tax deductible, and tax deferred investments |
Investment Advice & ManagementWhat are the Benefits of Asset Management? Personalized Investment Strategy allocated by Best in Class Institutional market strategist [Strategic, Tactical Constrained, Tactical Unconstrained and Absolute Return investment approaches]. Your Assets are Monitored by Our Team of Professionals Ongoing tactical adjustments to mitigate near and midterm risk in changing market environments while maintaining an appropriate investment profile. Quarterly Performance Reporting Cost Basis Accounting & Tax-Loss Harvesting Portfolios designed and implemented with No-Load and Load-Waived Mutual Funds, Exchange-Traded Funds, Individual Stocks and Bonds and Alternative Investments Custom design and implementation of innovative investment strategies in an ever changing world Fees charged are potentially tax deductible; |
Wealth ManagementWe will assist you in understanding where you are today in order to set attainable financial and personal goals for the future We will design and implement strategies to coordinate the areas of Legacy Planning, Risk Management and Investment Management Services. We will work with you to monitor and review your Wealth Management map on an ongoing basis. |
Money ManagementPortfolio Management Services: Analysis of currently held assets Formulate Investment Policy Statement Custom Portfolio design as needed (Taxable/Tax deferred and/or Tax Free) Multiple investment strategies to coincide with the clients short, mid, and long term financial goals |
Financial Advice & Consulting"DC Strategies" is a Wealth Management firm that takes a comprehensive approach to clarifying and organizing our clients financial affairs. We provide ongoing education and insight to navigating the complexities of growing and maintaining Wealth while our clients benefit from a more balanced life. Our pledge is to provide quality information so that our clients may make sound choices about their financial future. |
Faqs |
Why should I choose you as my financial advisor?A comprehensive approach to Wealth Management that designs and delivers a individualized solution in easy to understand terms. |
What are your qualifications? What is your education background?28 years in the Financial services industry. B.A. in Psychology, Monmouth University. |
How are you compensated? How will I pay for your services?Flat,hourly and assets under management based fee for service. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something?Our assets under management are based on non decretionary basis. |
How many clients do you currently manage?92 |
Registered Investment Advisor:
Yes
Registered Representative:
Yes
Investment Advisor Representative:
Yes
Acknowledged fiduciary:
Yes
Compliance Disclosures in Last 5 years:
Have a clean record
Criminal Disclosures in Last 5 years:
Have a clean record
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Mon. | 9:00 AM - 5:00 PM |
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Tue. | 9:00 AM - 5:00 PM |
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Wed. | 9:00 AM - 5:00 PM |
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Thu. | 9:00 AM - 5:00 PM |
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Fri. | 9:00 AM - 5:00 PM |
| All States |
Newsweek,New Jersey Wealth Managers
Introduction - Dan Chen
When: 2017
Details:Dan's primary focus in working with clients is to provide education, insight and knowledge so that they clearly understand the options that are available to them.
Watch this video to learn more!
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