Sweetwater Investments, Inc. | Financial Advisor in Redmond ,WA

16398 NE 85th Street, Suite 201
Redmond, WA 98052
Phone: (425) 861-0112

To inspire and restore trust


About

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.

34 Years of Experience



General Information
States Licensed in:   WA
Number of Years with Current Firm:   19
Work Experience:   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


Services
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 Information
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


Compliance
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%
Hourly Rate:   $160
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.



FAQs

  • Do you have a customer satisfaction or refund policy? We attempt to make sure there is a fit between Sweetwater and the cleint before we charge a fee so there is less likelyhood of a refund being needed. If fees are paid in advance we refund them prorata if we are terminated before the end of the quarter
  • What are your qualifications? What is your education background? We have various qualifications. CFP, CHLU, MBA, CSA,
  • What is your approach to financial planning? We believe that all areas of a client's life are important in considering the course of a financial plan. We work closely with the client's other advisors in the areas of tax and estate law to create a comprehensive plan. We are dynamic in reviewing the plan. We also spend a good deal of time determining the goals of the client and seperating the wants from the needs.
  • What services do you offer? We offer services in the area of investmnet management and consultation. We perform due diligence on investments proposed for cleints. We conduct financial planning and retirment planning.
  • How many clients do you currently manage? We have 75 relationships which contain about 125 accounts
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Dennis Gibb, CFP®

Dennis Gibb, CFP®

CERTIFIED FINANCIAL PLANNER™ Certificant, CLUŽ, CSA

Communities Served

All States

Office Hours

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