| Advisor Profile |
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| Name: |
Ethan Broga, CFP® |
| Phone Number: |
(206) 801-0422 |
| Website: |
Visit Website
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Business Description |
| We are fiduciary advisors, which means we must act with undivided loyalty to our clients and their interests, not our own. We also practice what we call Evidenced-Based investing which means our clients are not just getting our opinion on investing, they are getting advice based on the overwhelming body of evidence developed over the last 50 years. We combine our expertise in financial planning and asset management with our genuine desire to give our clients the knowledge and understanding to help them grow and protect their wealth. |
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General Information |
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| CRD#: |
need to check on this.
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| Name of Custodial Firm: |
Charles Schwab
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| States Licensed in: |
WA, OR, AK
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| States Willing to do Business in: |
all 50 states
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| Years of Experience in Financial Services: |
11
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| Number of Years with Current Firm: |
6
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| I work with the following types of clients: |
Individual Investors, Non-Profit Organizations
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Education |
| Academic Background |
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BA Washington State University
MS College for Finanaicl Planing
CFP Certificant |
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Services |
| Investment Types: |
Insurance, Bonds, Stocks, Commodities, Mutual Funds, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant, Masters In Personal Financial Planning
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
500
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| Firm's Number of Planning Clients: |
300
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| Firm's Number of Managed Clients: |
500
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| Assets Managed by Firm: |
$368,000,000
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| Advisor's Number of Clients: |
125
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| Advisor's Number of Managed Clients: |
125
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| Advisor's Number of Planning Clients: |
125
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| Assets Managed by Advisor: |
$150,000,000
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Compliance |
| Registered Investment Advisor: |
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 |
| I am a fee-only financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$400,000
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| Compensation Methods: |
Hourly, Based on Assets
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| Additional Details on Charges: |
There are two ways to work with me. On an ongoing basis as a fee-only advisor or on an hourly basis for point-in-time financial planning advice.
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| Minimum Fee Charged for Managed Accounts: |
1%
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| Minimum Fee Charged for Hourly Planning Accounts: |
$1,000
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| Prepared By: |
Ethan Broga, CFP® |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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Yes - Clients receive a refund for the unused portion of the management fee collected, which is billed 1/4 the annual rate every quarter. |
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What are your qualifications? What is your education background? |
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I have over 10 years experience in educating individuals and family on how best to invest. I have a BA from Washington State University, a MS in Financial Planning, and I am also a CFP(R). |
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What is your approach to financial planning? |
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My approach to planning is similar to our investments. I want to minimize risks that could prevent you from reaching your goals. We do this using an integrated approach, so all factors are considered before making a decision. |
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What services do you offer? |
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Expertise on investments, tax planning, retirement planning, asset protection, gifting, education, and debt analysis. |
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How many clients do you currently manage? |
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My team, consisting of 3 professionals, works with 125 clients. |
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Will you be the only person working with me? |
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No, including myself, there are 3 professionals. |
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How are you compensated? How will I pay for your services? |
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Fee-only based on assets under management. |
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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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No. We will agree in advance on the allocation we will be working within. We will monitor and maintain the allocation, reporting the results on a quarterly basis, and provide meaningful benchmark information. |
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Do you offer any guaranteed results? |
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No. We typically do not use investments that offer a guaranteed result. |
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How much risk should I be willing to take? |
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As little as possible to achieve your objectives. |
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Have you ever been charged with any breaches? |
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