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About Buckingham Strategic Wealth |
The essence of our approach is based on a pledge to act in your best interests.
This means making recommendations based on what decades of peer-reviewed financial research has
shown to be the right way to invest. It means getting to know you, your family, your goals and
your most important dreams. It means crafting a plan that touches on ? and improves ? the most
important aspects of your life.
The cornerstone of our approach is our investment philosophy, which is built on a deep
understanding of how to best capture the returns of the financial markets. Our approach is based
on established facts and real evidence, not empty opinions or the media?s ?flavor of the month?
speculation.
Investment planning is, of course, just one part of the Buckingham experience. How do your taxes
impact your savings? Do you have the right insurance? Do you have an estate plan? Are you taking
on the right amount of risk? As your trusted advisor, these are the questions we help you
answer. Our goal is to free you from worrying about the daily ups and downs of the market, so you
can focus on the things that really matter.
We look forward to discussing with you how we can become your trusted financial advocate. |
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General Information |
| Years of Experience in Financial Services: |
28
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| Work Experience: |
Over 28 years of financial services industry
experience working as a financial advisor for
individuals and families.
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| States Licensed in: |
Not Applicable
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| Name of Custodial Firm: |
Charles Schwab, Fidelity, TD Ameritrade
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| Number of Years with Current Firm: |
0
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| Work with the following types of clients: |
Businesses, Individual Investors, Non-Profit Organizations, High Net Worth Families
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| Name of Broker/Dealer: |
n/a
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| States Willing to do Business in: |
Alameda,Alviso,Atherton,Belmont,Ben Lomond,Boulder Creek,Brisbane,Brookdale,Burlingame,Campbell,Castro Valley,Cupertino,Davenport,Dublin,Felton,Fremont,Half Moon Bay,Hayward,La Honda,Loma Mar,Los Altos,Los Gatos,Menlo Park,Millbrae,Milpitas,Montara,Moss Beach,Mountain View,Newark,Oakland,Pacifica,Pescadero,Pleasanton,Portola Valley,Redwood City,San Bruno,San Carlos,San Gregorio,San Jose,San Leandro,San Lorenzo,San Mateo,Santa Clara,Saratoga,Scotts Valley,South San Francisco,Sunnyvale,Sunol,Union City,All
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Education |
| Academic Background |
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| UC Berkeley 1990 |
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Services |
| Investment Types: |
Mutual Funds, Bonds, Stocks, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)
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| Can meet clients in the following ways: |
Your Office, Email, Phone, Our Office, Your Home, Video Conference
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Qualifications & Memberships |
| Financial Organization Memberships: |
Paladin Registry, Financial Planning Association (FPA)
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Firm Information |
| Assets Managed by Firm: |
15662000000
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| Assets Managed by Advisor: |
105000000
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| Advisor's Number of Clients: |
160
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| Firm's Number of Clients: |
7736
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| Advisor's Number of Planning Clients: |
160
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| Advisor's Number of Managed Clients: |
160
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| Firm's Number of Planning Clients: |
7736
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| Firm's Number of Managed Clients: |
7736
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Compliance |
| Criminal Disclosures in Last 5 years: |
Have a clean record
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| Compliance Disclosures in Last 5 years: |
Have a clean record
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| Registered Investment Advisor: |
Yes
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| Investment Advisor Representative: |
Yes
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| Acknowledged fiduciary: |
Yes
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Compensation and Fees |
| Compensation Methods: |
Based on Assets
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| Minimum Portfolio Size for New Managed Accounts: |
1000000
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Frequently Asked Questions |
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| Q. |
Do you have a customer satisfaction or refund policy? |
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What are your qualifications? What is your education background? |
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At Buckingham Strategic Wealth, we believe in a comprehensive approach to building and preserving wealth. While some advisors focus only on investments, we take a broader perspective. Building on our core asset class investing philosophy, we help clients combine a prudent investment strategy with a well-coordinated, overall financial and wealth management plan. |
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How are you compensated? How will I pay for your services? |
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I currently work with approximately 160 individuals and families. |
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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 will be your primary advisor, however my partner and a team of support staff are available should I not be able to take care of your immediate needs. |
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How many clients do you currently manage? |
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We are a fee only investment advisor. We charge clients based on a percentage of assets under management. Fees are deducted from client accounts on a quarterly basis however we do have the ability to charge a client's credit card if they so desire. We are not paid based on commission. I am happy to provide our fee schedule on request. |
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Will you be the only person working with me? |
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We are a ?discretionary? investment advisor. Clients sign a Limited Power of Attorney (LPOA) that enables us to buy and sell positions without client consent. We provide transparency to the investment process and no investments are taken without first discussing specifics with the client. |
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Do you offer any guaranteed results? |
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How much risk should I be willing to take? |
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We recognize that wealthy individuals today have increased expectations for prudent risk management and sophisticated asset allocation. We therefore customize the level of portfolio risk based on a thorough understanding of the client?s goals and objectives and is unique to each individual or family. |
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Have you ever been charged with any breaches? |
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What is your approach to financial planning? |
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What services do you offer? |
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Clients that choose to work with us gain access to our 28 plus years of experience helping clients remain focused and disciplined as they invest to achieve their long term goals and objectives. |
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Why should I choose you as my financial advisor? |
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Having worked as an independent investment advisor since 1995 and with over 27 years of industry specific experience, I have helped many affluent individuals and families through a myriad of financial situations. This has provided me the experience and perspective clients should expect from a qualified investment advisor. I graduated from the University of California at Berkeley in 1990 and enjoy learning more about investing and financial planning every day. |
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How do you charge for your services? |
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I work to help simplify my clients' financial lives, optimize their investments, and organize their personal financial planning. I work closely with my clients using a consultative process to help them grow and protect their wealth, and achieve their most important financial goals with cost-efficiency and reliability. |
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What services do you provide? What are your specialties? |
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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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Only Buckingham Strategic Wealth. We do work closely with our partners Dimensional Fund Advisors, Charles Schwab, Fidelity and TD Ameritrade. |
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What are your qualifications? |
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What is your approach to 401 K plan rollovers? |
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We generally recommend clients roll their 401(k) assets into an IRA custodied with a discount brokerage firm and hire a firm such as ours to help them manage the account. |
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How long does the process of rolling over a 401K plan usually take? |
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It is dependent on the plan sponsor. Most rollovers take between 10 to 15 business days but can take longer in some instances. We do our best to expedite the process. |
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What financial institutions do you represent? |
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Buckingham Strategic Wealth |
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| Q. |
How many years of experience do you have? |
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What are your fees for this service? |
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How many 401K rollover clients do you currently manage? |
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The majority of our clients have rolled over at least 1 401k plan balance. |
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| Q. |
Why should I roll over my 401K plan to your firm? |
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Please read ?The Investment Answer?(www.theinvestmentanswerbook.com) by Daniel C. Goldie and Gordon S. Murray. If you enjoy the book, it is quite likely you would enjoy working with me. |
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