June 16th, 2022
Birch Investment Management, registered in 2011, serves 1 state(s) with a licensed staff of 1 advisors. Birch Investment Management manages $17.4 million and provides investment advisory services for 58 clients (1:58 advisor/client ratio).
|Average Client Balance||$299,269|
|Total AUM||$17.4 million|
|Fee Range||AUM fee is 1% annually on the first $1 million, 0.5% on the next $2 million, and 0.25% on assets over $3 million. Please review our ADV for the most current fee schedule.|
|Advisor / Client Ratio||1:58|
|Specialities||Investment Planning and Management, Retirement Planning, Gen X, and Baby Boomers|
|Clientele||Serves clients virtually across the United States.|
|SEC Filings||View SEC IAPD CRD #158735|
We strive to build portfolios and ongoing investment plans that meet the goals of our clients. We don't try to time the market and instead focus on long-term planning and strategy. We choose investments that help meet the needs of the overall client financial plan. Our areas of focus include global diversification, asset location, minimizing costs, and tax efficiency.
After checking the disciplinary records of Birch Investment Management, our system found no disciplinary questions to ask. Checks take place monthly.
After checking the regulatory records of Birch Investment Management, our system has identified the following question(s) to ask. Learn more.
Birch Investment Management has marked in their disclosures that they trade recommended securities. While this often can be seen as "eating your own cooking," there are several inherent conflicts that can arise. For example, front running is when a financial professional buys or sell securities ahead of their client. In short, any financial professional should disclose all positions they hold (or have sold short) that they will also be recommending to you.
Our system found no other conflict questions to ask. Checks take place monthly.
An important aspect of the Trust Algorithm is processing the SEC Form ADV Part 1 filing of each Registered Investment Advisor (RIA). “Item 11 Disclosure Information” contains a list of valuable disclosures that are relevant for Americans.
As identified in SEC Form ADV Part 1, Item 11 “Disclosure Information”, the Trust Algorithm identified the following disciplinary disclosures for Birch Investment Management:
|Activity Restriction – SRO||No|
|Attorney/Accountant Authorization Revocation – SRO||No|
|Business License Revocation – SRO||No|
|Business License Revocation - SEC/CFTC||No|
|Business License Revocation - Other Regulatory Agencies||No|
|Dismissal upon Settlement – Court||No|
|Investment-Related Prohibition - Court||No|
|False Statements or Omissions – SRO||No|
|False Statements or Omissions - Other Regulatory Agencies||No|
|False Statements or Omissions - SEC/CFTC||No|
|Monetary Penalty - SEC/CFTC||No|
|Order Entered - SEC/CFTC||No|
|Order Entered - Other Regulatory Agencies||No|
|Regulation Violations - SEC/CFTC||No|
|Regulation Violations - Other Regulatory Agencies||No|
|Regulation Violations – SRO||No|
Unfortunately, there is no single, uniform pricing standard for working with a financial advisor. Catchphrases, including "fee-only," can be helpful; however, Americans often get confused with competitors promoting "fee-based" in response.
Ultimately, to understand the underlying costs of advisory services, we always recommend asking for an itemized fees breakdown and reading the firm's ADV Part 2 Brochure (Item 5, "Fees and Compensation").
|Insurance Agent Conflict - Affiliation||No|
|Insurance Agent Conflict - Firm||No|
|Private Investment Management||No|
|Trades Recommended Securities||Yes|
As a financial advisory firm, Birch Investment Management can provide a variety of financial planning services for Americans. Financial advisors help you achieve your life goals, e.g., saving for retirement, by creating a comprehensive financial plan and managing your investment portfolio (e.g., stocks, ETFs, mutual funds, bonds).
Financial planning services can include tax planning, estate planning, retirement planning, or life-based event planning such as saving for college, getting married, purchasing a home, paying down debt, or planning an inheritance.
Birch Investment Management is headquartered in Brookings, SD and currently serves in 1 state: South Dakota.
While Birch Investment Management advises clients across a variety of portfolio sizes, the average client balance is currently $299,269. In total, Birch Investment Management manages $17,357,640 in assets.
Neither the SEC nor FINRA tracks portfolio performance metrics for the financial planning industry. As a result, unlike hedge funds, there is no historical performance for any financial advisory firm. Financial plans and investment portfolios are always unique to the client's personal financial situation.
investor.com relies on regulatory data from the SEC to rate and review financial advisor firms. As a result, we do not support personal reviews on the site. To file a complaint or dispute with this firm, please fill out the SEC Investor Complaint Form.
This automated report was generated using SEC and FINRA data and was last updated on June 16th, 2022*. For data support, email "firstname.lastname@example.org". Views: 427 (trailing six months). Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.