Sweetwater Investments was named one of the Top 100 independent investment firms by Barron's in 2007.
Sweetwater's mission is to create for each client a financial plan fully reflective of the client's goals, perceptions, experience and needs. At the end of our process the finished plans will be to one the client would have created if they had the time, energy and aptitude.
Sweetwater combines its 34 years of experience in the financial markets with academic learning and congruent philosophy and methodology to create a fully client focused experience.
We seek to be our client's servant leader in the financial markets and to create a service profile so extraordinary that each client will unreservedly refers us their friends.
|States Licensed in:||WA|
|Number of Years with Current Firm:||19|
Dean Witter (1974 to 1979) |
Morgan Stanley (1979 to 1984)
Bear Stearns (1984 to 1989)
|I work with the following types of clients:||Individual Investors , Indian tribes , Non-Profit Organizations|
|Investment Types:||Alternative Investments , Options & Futures , Bonds , Exchange Traded Funds (ETFs) , Mutual Funds , Stocks|
|I can meet clients in the following ways:||At your office , Via phone , At my office , Via email|
|Qualifications & Memberships|
|Financial Organization Memberships:||Financial Planning Association (FPA)|
|Non-Financial Organization Memberships:||Knights of Columbus, VFW,|
|Firm's Number of Clients:||125|
|Firm's Number of Planning Clients:||50|
|Firm's Number of Managed Clients:||125|
|Assets Managed by Firm:||$1.5 billion|
|Advisor's Number of Clients:||50|
|Advisor's Number of Managed Clients:||35|
|Advisor's Number of Planning Clients:||15|
|Assets Managed by Advisor:||$1 billion|
|Registered Investment Advisor:||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|
|Fee Structure:||I am a fee-only financial professional|
|Minimum Portfolio Size for New Managed Accounts:||$250,000|
|Compensation Methods:||Based on Assets , Hourly , Flat Fee|
|Fee % Based on Assets:||1%|
|Additional Details on Charges:||
We offer a flexible fee system based on what the client desires to accomplish. When we act as an investment consultant we are only compensated by hourly fee to maintain a conflict free view of the client's situation. Our hourly fee is also charged when we act for clients in performing due diligence on investments currently being considered.
Before any terms of service are agreed to we provide full disclosure of our fee structure and an estimate of the cost to the cleint.
|Mon.||9:00 AM - 5:00 PM|
|Tue.||9:00 AM - 5:00 PM|
|Wed.||9:00 AM - 5:00 PM|
|Thu.||9:00 AM - 5:00 PM|
|Fri.||9:00 AM - 5:00 PM|