Investment Initiatives, LLC

RIASEC Registered

Total AUM

$26M

Discretionary

$16.6M

64% of AUM

Avg account

$361K

Accounts

Employees

Advisory reps

Firm details

Headquarters: ,
CRD number: 170334
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM
Client types: HNWI40.84%
Banking / Thrift Institutions19.29%
Pension & Profit Sharing Plans16.66%
Charitable Organizations13.25%
Individuals9.95%
Services: Financial PlanningPortfolio Management for IndividualsPension Consulting

Firm profile

FINTRX

Overview

Investment Initiatives, LLC is an independent registered investment adviser organized as a limited liability company and owned by an individual. The firm focuses on serving individual and family clients and charges advisory fees as a percentage of assets under management. Core advisory services include financial planning, portfolio management for individuals and small businesses, and pension consulting. The firm does not position itself as an ESG specialist and is not described as a multi-state or capital-allocating adviser.