No.of Employees

5-9

CRD#

2595308

Firm CRD#

6413

Name of Broker/Dealer

LPL Financial

Name of Custodial Firm

LPL Financial

States Licensed in

NY, MI, MO, OK, TX and advisory services as an Investment Advisor Representative (IAR) in the following: TX, HI, IL, IA, CA, MI, MO, GA, OK, FL,MD, NY

Years of Experience in Financial Services

22

Number of Years with Current Firm

5

Work with the following types of clients

Businesses, Individual Investors, Non-Profit Organizations

Advisory Services Provided

Wealth Management, Education Funding and Planning, Retirement Planning, Portfolio Management, Financial Planning, 401K Rollovers, Risk Management, Money Management, Insurance Products & Annuities, Estate Planning & Trusts, Tax Advice and Services, Investment Advice & Management, Financial Planning for Businesses, Financial Planning for Individuals, Financial Advice & Consulting

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

Certifications, Accreditations & Designations

CRPC^®, CPFA

Securities Licenses

Series 63, Series 7, Series 65

Insurance and Annuity Licenses

Variable Life, Variable Annuity, Property, Long Term Care, Life, Health, Disability, Casualty, Annuity, Accident

Advisor's Number of Clients

138

Advisor's Number of Managed Clients

127

Advisor's Number of Planning Clients

90

Assets Managed by Advisor

50000000

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

5000

Compensation Methods

Based on Assets

Fee % Based on Assets

.65-1.75%

Additional Details on Charges

While we do not have a minimum, our full service wealth management offering typically fits clients with more that $500k in investments or household incomes greater than $200k. Do not worry if you have less than that because we have programs that potentially fit your situation. We also have stand-alone financial planning services available.

We charge a premium fee for investment management and financial planning.  We are not the most expensive...and you do not want cheap.  Our goal is to give you significantly more value than the fee charged.

Our affiliation with LPL Financial gives you access to some of the largest institutional managers in the country. 

Full service assets under investment management over $1 million will be assessed a fee from .65 - 1.5%. Full service assets under investment management less than $1 million will be assessed a fee of 1.25 - 1.75%.

*Discounts apply if both planning and investment management are chosen.

Minimum Fee Charged for Managed Accounts

.65

Minimum Fee Charged for Hourly Planning Accounts

247

LPL ADV 2A

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/wiseradvisor/wiseradvisor-lpl-solicitor-disclosure.pdf

Securities and Advisory services offered through LPL Financial. A registered investment advisor. Member FINRA & SIPC.