|
| Financial Services |
| Number of Professionals and support staff: |
| Investment professionals: 3 |
| Other professionals: 1 |
| Support staff: 2 |
|
| Background of key professionals: |
| |
| Name |
CRD or IARD # |
Experience (Yrs) |
Certification(s) |
Degree(s) |
|
|
| Kris Maksimovich |
Not Available |
9 |
|
|
|
| Bryn Henry |
Not Available |
8 |
|
|
|
| Katie Brewer |
Not Available |
6 |
|
|
|
| Our professionals currently hold the following active securities licenses: |
| • Series 7 - Sell any type of security, mutual fund, or variable annuity |
| • Series 66 - Act as an agent of a Broker/Dealer and an investment advisor |
| We provide our CRD or IARD numbers upon request: |
|
• Yes |
You can view our compliance record for financial services and products by going to www.finra.org and entering our CRD or IARD numbers. If no record appears, go to our state's securities commissioner website and enter the same number. http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm
|
| Our firm is a Registered Investment Advisor (RIA) |
| We provide the following types of financial planning services: |
| • Financial Planning |
| • Retirement Planning |
| • College Planning |
| • Charitable Planning |
| • Tax Planning |
| • Investment Strategy |
| • Current Plan Reviews |
| We provide the following types of non-discretionary investment advice and services: |
|
• Investment Strategy & Policy |
|
• Asset Allocation |
|
• Money Manager Selection |
|
• Active |
|
• Passive |
|
• Risk Management |
|
• Performance Measurement |
|
• Tax Efficient Strategies |
|
• Current Portfolio Reviews |
| • Alternative Investment Selection |
| We provide discretionary money management services and invest in the following: |
| • Equity Securities |
| • Fixed Income |
| • Securities |
| • Foreign Securities |
| • Exchange Traded Funds |
| • Mutual Funds (Institutional) |
| • Mutual Funds (Retail) |
| • Hedge Funds |
| • Equity Real Estate |
| We provide track record to investors |
| • The track record is audited by an independent third party |
| We market the following types of investment products: |
| • Mutual funds |
| • Exchange Traded Funds |
| • Securities |
| • Hedge funds |
| • Equity Real Estate |
| • Limited Partnerships |
| • Alternative Investments |
| Our minimum asset requirement for our investment services is: |
|
• None |
| Our minimum net worth requirement for our planning services is: |
|
• None |
| Our primary professional association memberships include: |
| • (FPA) Financial Planning Association |
| • (MDRT) Million Dollar Round Table |
|
