Financial Transparency

RIASEC Registered
Total AUM
$322M
Discretionary
$318M
99% of AUM
Avg account
$643K
Accounts
501
Employees
16
Advisory reps
16

Firm details

Headquarters
,
CRD number
297713
Registered since
July 13, 2018
Custodians
CHARLES SCHWAB & CO., INC., AXOS CLEARING LLC
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI72.17%
  • Individuals19.74%
  • Pension & Profit Sharing Plans7.98%
  • Corporations / Businesses0.07%
  • Charitable Organizations0.03%
Services
Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Financial Transparency is an independent RIA organized as an LLC and registered with the SEC in 2018. The firm is owned by an individual and identifies itself as a capital allocator, managing investments for both individual and family clients as well as institutional accounts. Its revenue model mixes percentage-of-AUM fees with fixed fees, and the firm also operates in an insurance-broker capacity. Advisory services include financial planning, portfolio management for individuals and small businesses, selection of other advisers, pension consulting services, and educational seminars and workshops. The firm is not positioned as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 80%, Cash & Cash Equivalents 10%, Exchange Traded Equities 5%, US Government Bonds 5%80%
  • Public Funds/Mutual Funds80%
  • Cash & Cash Equivalents10%
  • Exchange Traded Equities5%
  • US Government Bonds5%

Owners & executives

2 of 2
  • Emily Keagle

    Emily Keagle

    CEO, AdvisorCRD 4429868

  • Michael Macdonald

    Michael Macdonald

    Independent ContractorCRD 736552

Contacts

3 of 14
  • Joshua Keagle

    Joshua Keagle

    Financial AdvisorCRD 5844366

  • James Nici

    James Nici

    Investment Advisor RepresentativeCRD 4336536

  • Anthony Madonia

    Anthony Madonia

    Investment Advisory RepresentativeCRD 4473550

Unlock 11 more contacts →

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 35

Active vs passive

$92.7M in ETFs

Passive

88%

$81.8M

Active

1%

$10.8M

ETFProviderStyleCategoryValueShares% of portfolio
INVESCO QQQ TRUST SERIES 1 (QQQ)InvescoPassiveLarge Growth$30.7M63,96933.16%

Location

Primary office

, null

Location

, null

Headquartered in , null.

Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth