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About Signature Estate & Investment Advisors, LLC |
Welcome to Signature Estate & Investment Advisors, LLC
Signature Estate & Investment Advisors, LLC (SEIA®) is a Registered Investment Advisory firm
offering Investment Management and Financial Planning Services tailored to meet the unique needs
of affluent individuals, institutions, and corporations.
SEIA's reputation is earned on a daily basis, in each client relationship and professional
affiliation we maintain. Accordingly, these values shape our firm:
SEIA mandates extensive and comprehensive requirements for all advisors in the areas of
accredited degrees, professional designations, licensing, and ethics requirements
Continuous enhanced education and experience enable our Certified Financial Planners (CFP®) and
Chartered Financial Analysts (CFA®) to design individually tailored strategies and provide
relationship-based financial advice meeting both the short and long term goals of each client
Confidential, unbiased, high quality financial advice is the core of our wealth management
strategies |
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General Information |
Years of Experience in Financial Services: |
25
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States Licensed in: |
California
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Name of Custodial Firm: |
Charles Schwab, Fidelity
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Number of Years with Current Firm: |
25
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Insurance License#: |
0B63654
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Work with the following types of clients: |
Businesses, Individual Investors
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Name of Broker/Dealer: |
Royal Alliance
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Education |
Academic Background |
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Universal of California Los Angeles (UCLA),
Los Angeles, CA
Bachelors Degree with major in Economics, Emphasis in Biochemistry, 1995 |
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Services |
Investment Types: |
Mutual Funds, Options & Futures, Bonds, Stocks, Annuities, Insurance, 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 |
Certifications, Accreditations & Designations: |
Accredited Investment Fiduciary® (AIF), Chartered Mutual Fund Counselor (CMFC®), CERTIFIED FINANCIAL PLANNER™ Certificant
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Securities Licenses: |
Series 6, Series 7, Series 63, Series 65
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Insurance and Annuity Licenses: |
Variable Life, Long Term Care, Variable Annuity, Life, Annuity, Disability
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Firm Information |
Assets Managed by Firm: |
$10 Billion
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Assets Managed by Advisor: |
$380 M
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Firm's Number of Clients: |
2500
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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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Registered Representative: |
Yes
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Investment Advisor Representative: |
Yes
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Acknowledged fiduciary: |
Yes
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Compensation and Fees |
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Fee % Based on Assets: |
.5 ~1.5%
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Additional Details on Charges: |
The Actual fee for any portfolio is negotiated
based on the unique objectives of each client, the
complexity of the investment plan, the types of
assets held in the account, and other factors
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Compensation Methods: |
Based on Assets, Hourly
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Minimum Portfolio Size for New Managed Accounts: |
$250,000
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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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We do not have a formal refund policy, however client satisfaction is our number one priority at SEIA. If one of our clients feels as though our services have not met their expectations, we would certainly evaluate a fee reduction and we bill in arrears at the end of each quarter. |
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What are your qualifications? What is your education background? |
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We take a team approach to develop a fully customized, holistic solution for our client's investment and financials goals. We value the client experience and make sure that there are always multiple advisors overseeing each client's unique situation. Furthermore, we have an in-house staff that provides compliance, marketing, trading, investment research and operational support. |
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How are you compensated? How will I pay for your services? |
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My personal book is roughly 200 households, over 250 individual clients. Our overall firm manages close to 10 billion in client assets with 1000's of clients. |
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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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Our clients work directly with my team. Which includes myself, Jessica Cherness, Cole Brownell and Joe Fusaro. There will always be someone available and aware of your individual situation at all times. |
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How many clients do you currently manage? |
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I am a fee based advisor, meaning a majority of my compensation comes from fees charged to the assets that I manage. As a fiduciary advisor I am obligated to work in your best interest and am not incentivized by any proprietary products. |
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Will you be the only person working with me? |
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If you would like. We manage client assets both on a discretionary and non-discretionary basis. |
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How much risk should I be willing to take? |
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This is entirely dependent on you. We run a full risk analysis before we implement any suggestions. We look at both ability to take risk from a balance sheet and income statement perspective, and willingness to take risk, from a behavioral/risk tolerance perspective. |
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Have you ever been charged with any breaches? |
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Why should I choose you as my financial advisor? |
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I am currently a CFP® professional in addition to holding the AIF® and the CMFC designations. I earned my Bachelor's degree in Economics with an emphasis in Biochemistry with Honors from University of California, Los Angeles. Our support team has a number of CFA, CFP, MBA, CIWA, MS, CAIA, AIF and ChFC degree and designation holders. |
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How do you charge for your services? |
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We offer comprehensive financial planning. An institutional investment platform that includes both discretionary and non-discretionary portfolio management. A list of investment services include: Alternatives, concentrated positions, options, stocks, bonds, ETFs, structured notes, opportunity zones, social responsible investing. |
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