Wealth Management Consultation & Fees

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Initial Consultation
It is an honor to be considered as a potential financial partner in your life. Your initial consultation is approximately 60-90 minutes, at no cost, nor obligation to you. This is an opportunity to get to know each other, and for me to learn more about your circumstances, preferences and goals.

Investment Minimum
Holistic wealth management delivered by a CERTIFIED FINANCIAL PLANNERTM professional should not be exclusive. That is why I offer investment advisory account services beginning at just $50,000. Over time, we seek to grow and expand our relationship.

Advisory Fees
Most of my client relationships are through our investment advisory programs where we are compensated based on the value of the household assets under management (AUM). The advisory fee is typically debited to your account quarterly, so there are no additional invoices to manage and pay. This structure is well suited for the creation, implementation, monitoring and ongoing adjustments of your strategies, as we seek to achieve your goals.

As an advisory client, we have a fiduciary duty to act in your best interests, which includes clearly communicating the costs clients pay. To provide simple and transparent advisory fees, we use a flat fee schedule, where the pricing is applied to the entire market value. This may compare favorably to a tiered pricing structure, where the rate is blended, since the initial dollars are assessed at higher rates.

Advisory Relationship                         Annual Fee
$50,000 - $500,000                                    1.00%
$500,000 - $1,000,000                               0.95%
$1,000,000 - $2,000,000                            0.85%
$2,000,000 - $5,000,000                            0.75%
$5,000,000 - $10,000,000                          0.55%
$10,000,000+                                            custom

When serving clients in an advisory capacity, D.A. Davidson does not charge clients commissions, or ticket charges for trades. Further information on our advisory programs can be found on our Form ADV brochure.

Investment Fees
To ensure proper diversification and professional management of securities, institutional class funds are deployed when available. My client portfolios typically hold tens of thousands of securities, and the embedded expense ratio of these solutions are usually less than 0.30% annually. These investment expenses are in addition to the advisory fee.

The fees schedule above is typical, but not considered a binding offer. Actual compensation may vary based on client needs and services provided, which are subject to change.

Distinctive Advice in the Areas of Wealth Management & Workplace Retirement Plans

Please call us at (626) 773-4244

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