| Advisor Profile |
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| Name: |
Derick Schuhart |
| Phone Number: |
(920) 574-9824 |
| Website: |
Visit Website
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| Research This Advisor |
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ADV Form II Link:
Yes
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| Request More Information |
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Business Description |
Coaching investors by implementing unique, proven investment strategies that provide peace of mind and abundance for investors and their families.
Professional money management utilizing institutional managers, commingly unavailable to individual investors or company 401(k)plans. |
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General Information |
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| Insurance License#: |
2368558
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| Name of Broker/Dealer: |
RIA
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| Name of Custodial Firm: |
SCHWAB, TCA, US BANK
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| States Willing to do Business in: |
WI
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| Years of Experience in Financial Services: |
11
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| Number of Years with Current Firm: |
4
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| Work Experience: |
Financial Services
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| I work with the following types of clients: |
Non-Profit Organizations, Individual Investors, Investment Clubs, Businesses
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Services |
| Investment Types: |
Stocks, Annuities, Insurance, Mutual Funds, Alternative Investments, Exchange Traded Funds (ETFs), Bonds
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Life Underwriter Training Council Fellow (LUTCF), Chartered Retirement Planning Counselor (CRPC®), Accredited Wealth Management Advisor(AWMA)
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| Securities Licenses: |
Series 65
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| Insurance and Annuity Licenses: |
Variable Annuity, Life, Annuity
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
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 |
| I am a fee-only financial professional: |
Yes
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| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Flat Fee, Hourly, Based on Assets, Commissions
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| Prepared By: |
Derick Schuhart |
Frequently Asked Questions |
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| Q. |
Do you have a customer satisfaction or refund policy? |
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| Q. |
What is your approach to financial planning? |
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My unique approach is to provide investment strategies that have actually have a legal opinion attached. Not sure there are any other advisors willing to back their planning services in this manner. |
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What services do you offer? |
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Investment Services (all) |
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Will you be the only person working with me? |
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Yes, I work with roughly 8 new clients a month. You have my full attention. |
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How are you compensated? How will I pay for your services? |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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I do not accept discretionary accounts. You are in control. |
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Do you offer any guaranteed results? |
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It depends on the service. |
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How much risk should I be willing to take? |
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With my guidence, you will be determining your risk tolerance. |
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Have you ever been charged with any breaches? |
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What services do you provide? What are your specialties? |
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401(k) rollovers, IRA rollovers, all qualified and non-qualified accounts, income planning, tax planning strategies. |
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What is your experience? How many clients do you currently manage? |
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What financial institution(s) do you represent? |
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I am an Independent Registered Investment Advisor (RIA) |
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How do you charge for your services? |
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Depends on the services provided. |
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Do you provide a free initial consultation? |
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Yes, provided you request the consultation within 30 days of contact. |
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Why should I choose you as my financial advisor? |
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My unique approach is to provide investment strategies that have actually have a legal opinion attached. Not sure there are any other advisors willing to back their planning services in this manner. |
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What are your management fees? |
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Depends on the size of the plan. |
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What kind of plans do you specialize in? |
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Do you have a minimum requirement for number of employees or total investment value? |
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Do you offer any additional services? |
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What is your approach to 401 K plan rollovers? |
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To provide Fiduciary guidance |
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How long does the process of rolling over a 401K plan usually take? |
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Depends, but generally 60-90 days. |
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What financial institutions do you represent? |
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I'm an independent Registered Investment Advisor (RIA) |
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How many years of experience do you have? |
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What are your fees for this service? |
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Why should I roll over my 401K plan to your firm? |
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My plans have been reviewed by an ERISA attorney to provide guidence on investments and fiduciary matters. |
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Do you provide a free initial consultation? |
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Yes, provided the consultation takes place within 30 days of contact. |
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