Advisor Profile |
|
|
Disclosure Link:
https://colwyninvestments.com/financial-services/wealth-management/" target="_blank">WiserAdvisor provides referr...
|
Request More Information |
|
Disclaimer |
The information found on this website is not intended to be used as the sole basis of any investment, tax, or retirement decisions. Our information provided is prepared for general circulation and has been prepared without regard to any one individuals financial circumstances and objectives of persons who receive or obtain access to it. No one receiving or accessing our materials should make any investment decision without first consulting a competent financial advisor and conducting his or her own research and due diligence, including carefully reviewing any applicable prospectuses, press releases, reports and other public filings of any investment being considered. None of the information presented should be construed as an offer to sell or buy any particular investment or product. As always, use your best judgment when investing. This information should not be construed as investment advice. This material was prepared by Colwyn Investments. Colwyn offers investment advisory services and is an independent, fee-based, Registered Investment Advisor firm providing wealth management services for individuals and small businesses, financial planning services, retirement plan consulting for small businesses as well as financial Advisor services for individuals and businesses. Colwyn Investments is located at 10923 South Redwood Road, South Jordan Utah 84095 and they can be reached at 801-254-0084. |
|
|
|
|
About Colwyn Investments |
Colwyn Investments is an independent investment advisory firm located in South Jordan, Utah. We provide individually created portfolios that are managed on a daily basis according to your goals, risk tolerance and time-frame. We believe the fundamental principles of investing are key to long-term success. These include asset allocation, diversification, and risk management. The foundation of Colwyn Investments is centered on individual relationships. We limit the number of clients we serve in order to maintain the highest level of performance in our delivery of services. We focus on individual relationships, offering honest, relevant, un-biased investment advice with a firm belief that a constant recurrence to the fundamentals of investing will always lead to superior performance. |
|
|
|
General Information |
Years of Experience in Financial Services: |
21
|
|
|
|
|
Name of Custodial Firm: |
Charles Schwab, TD Ameritrade, Interactive Brokers
|
|
Number of Years with Current Firm: |
11
|
|
Insurance License#: |
263967
|
|
Work with the following types of clients: |
Businesses, Individual Investors, Non-Profit Organizations
|
|
States Willing to do Business in: |
Utah
Wyoming
The western United States
The eastern United States
|
|
Advisory Services Provided: |
Tax Advice and Services, Financial Planning for Businesses, Financial Planning for Individuals, Education Funding and Planning, Risk Management, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Estate Planning & Trusts, Financial Advice & Consulting, Insurance Planning, Annuities
|
|
|
|
|
Services |
Investment Types: |
Mutual Funds, FOREX & Currency, Options & Futures, Bonds, Stocks, Annuities, Insurance, Commodities, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)
|
|
Can meet clients in the following ways: |
Your Office, Email, Phone, Our Office, Your Home, Video Conference
|
|
|
|
Qualifications & Memberships |
Certifications, Accreditations & Designations: |
MBA, Ph. D.
|
|
Securities Licenses: |
Series 6, Series 7, Series 65, Series 66
|
|
Insurance and Annuity Licenses: |
Variable Life, Long Term Care, Variable Annuity, HMO, Life, Health, Annuity, Accident, Casualty, Property, Disability
|
|
|
|
Firm Information |
Assets Managed by Firm: |
35,000,000
|
|
Assets Managed by Advisor: |
$30,000,000.00
|
|
Advisor's Number of Clients: |
150
|
|
Firm's Number of Clients: |
305
|
|
Advisor's Number of Planning Clients: |
150
|
|
Advisor's Number of Managed Clients: |
150
|
|
Firm's Number of Managed Clients: |
305
|
|
|
|
Compliance |
Criminal Disclosures in Last 5 years: |
Have a clean record
|
|
Compliance Disclosures in Last 5 years: |
Have a clean record
|
|
Registered Investment Advisor: |
Yes
|
|
Investment Advisor Representative: |
Yes
|
|
Acknowledged fiduciary: |
Yes
|
|
|
|
Compensation and Fees |
|
Fee % Based on Assets: |
1.5%
|
|
Additional Details on Charges: |
Management Fee is based on Assets under Management.
Planning fee is based on Scope of the Plan
Insurance service costs vary per product.
|
|
Compensation Methods: |
Based on Assets, Hourly, Flat Fee
|
|
Minimum Fee Charged for Managed Accounts: |
0
|
|
|
Minimum Fee Charged for Hourly Planning Accounts: |
0
|
|
|
|
|
|
Frequently Asked Questions |
|
Q. |
Do you have a customer satisfaction or refund policy? |
|
We value the feedback from our clients tremendously. |
|
Q. |
What are your qualifications? What is your education background? |
|
Full scope planning with every aspect of retirement covered. |
|
Q. |
How are you compensated? How will I pay for your services? |
|
Fees based on assets or services provided. |
|
Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
|
We have a team of support staff, but yes, I advise all of my clients personally. |
|
Q. |
How many clients do you currently manage? |
|
Q. |
Will you be the only person working with me? |
|
Q. |
Do you offer any guaranteed results? |
|
Only the guarantee that things will change and we will be there to help you navigate it when it does. |
|
Q. |
How much risk should I be willing to take? |
|
As much as you feel comfortable with. |
|
Q. |
Have you ever been charged with any breaches? |
|
Q. |
What services do you offer? |
|
Planning and wealth management. |
|
Q. |
Why should I choose you as my financial advisor? |
|
20 plus years of experience
MBA
PHD |
|
Q. |
How do you charge for your services? |
|
Experience and qualifications should create the introduction, but you should not choose me unless we have chatted and talked. |
|
Q. |
What services do you provide? What are your specialties? |
|
Full-service wealth management of any kind.
Endowment portfolio creation and management is our specialty. |
|
Q. |
What is your experience? How many clients do you currently manage? |
|
20 plus years of experience
MBA
PHD
over 200 |
|
Q. |
What financial institution(s) do you represent? |
|
Colwyn Investments
Charles Schwab
TD Ameritrade
Interactive Brokers |
|
Q. |
What are your qualifications? |
|
20 plus years of experience
MBA
PHD |
|
Q. |
What is your approach to 401 K plan rollovers? |
|
Full-service portfolio allocation creation and review. |
|
Q. |
How long does the process of rolling over a 401K plan usually take? |
|
it can be as soon as a few days up to a week or so. |
|
Q. |
What financial institutions do you represent? |
|
Colwyn Investments
Charles Schwab
TD Ameritrade
Interactive Brokers |
|
Q. |
How many years of experience do you have? |
|
Q. |
What are your fees for this service? |
|
Fees depend on the assets under management or the services provided. |
|
Q. |
How many 401K rollover clients do you currently manage? |
|
Q. |
Why should I roll over my 401K plan to your firm? |
|
More choices, less cost, more control... the last 3 compounds are the most important! |
|
|
|