Business Description

We are a fee only, independent, non - discretionary Registered Investment Advisor (RIA) firm. Our sole focus is your individual needs, goals, and objectives and to deliver comprehensive, unbiased, and expert investment advice and counsel. We follow a proven approach that assists individuals, families, and institutions/foundations in developing a strategic investment plan, investment policy, and monitoring process to achieve their goals.

General Information

Gender:

Male

CRD#:

1846627

Firm CRD#:

144714

SEC File#:

801-68204

States Licensed in:

LA, VA

States Willing to do Business in:

All States

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Non-Profit Organizations, Individual Investors

Services

Investment Types:

Commodities, Bonds, Stocks, Annuities, Insurance, Mutual Funds, FOREX & Currency, Options & Futures, Alternative Investments, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Certified Public Accountant (CPA), Chartered Life Underwriter (CLU®), Accredited Investment Fiduciary® (AIF), Chartered Financial Consultant (ChFC®), Life Underwriter Training Council Fellow (LUTCF), Certified Investment Management Analyst (CIMA®)

Securities Licenses:

Series 65, Series 63, Series 26, Series 24, Series 7, Series 6

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

Financial Planning Association (FPA), IMCA

Non-Financial Organization Memberships:

Social Investment Forum (Socially Responsible Investing association)

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

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

I am a fee-only financial professional:

Yes

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$1,000,000

Compensation Methods:

Flat Fee, Based on Assets, Hourly

Prepared By:

John Wolff, CFP®