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Business Description |
To help clients meet their financial goals through high quality, professional investment services. This can only be accomplished by working with the client to determine their risk profile and goals and then implementing an investment strategy within that framework.
Providence Financial Advisors is a Registered Investment Advisor and only recieves fees from clients. This allows us complete freedom in implementing the investment portfolio for our clients.
Providence utiliizes time tested investment disciplines to build portfolios and believes it is important to take a long term approach to investing. |
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General Information |
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| Name of Custodial Firm: |
Schwab
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| States Licensed in: |
KS, MO
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| Years of Experience in Financial Services: |
25+
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| Number of Years with Current Firm: |
9
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| I work with the following types of clients: |
Non-Profit Organizations, Businesses, Individual Investors
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Education |
| Academic Background |
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| BA, Business Administration and Religious Studies - Southwest Baptist University (1982) |
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Services |
| Investment Types: |
Real Estate, Stocks, Alternative Investments, Exchange Traded Funds (ETFs), Bonds, Mutual Funds, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Chartered Financial Analyst (CFA)
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| Financial Organization Memberships: |
CFA Institute, Paladin Registry
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| Non-Financial Organization Memberships: |
National Center For Fathering, Hope Network
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Firm's Number of Clients: |
46
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| Assets Managed by Firm: |
$38,000,000
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| Advisor's Number of Clients: |
40
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| Advisor's Number of Managed Clients: |
40
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| Advisor's Number of Planning Clients: |
10
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| Assets Managed by Advisor: |
$35,000,000+
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Fee Structure: |
I am a fee-only financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Hourly, Flat Fee, Based on Assets
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| Fee % Based on Assets: |
1%
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| Additional Details on Charges: |
Assets under management start at 1% and taper down based on overall asset level.
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| Minimum Fee Charged for Managed Accounts: |
N/A
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| Minimum Fee Charged for Hourly Planning Accounts: |
$500
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| Minimum Fee Charged for Flat Fee Accounts: |
N/A
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| Prepared By: |
Steven Cox, CFA |
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