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Canterbury Investment Management Review

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Canterbury Investment Management, registered in 2003, is a Registered Investment Advisor (RIA) in 3 state(s) with a licensed staff of 3 advisors. Canterbury Investment Management manages $150.4 million and provides investment advisory services for 2,328 clients (1:776 advisor/client ratio).



Disciplinary Questions


After checking the disciplinary records of Canterbury Investment Management, our system found no disciplinary questions to ask. Checks take place monthly.


Conflict Questions


After checking the regulatory records of Canterbury Investment Management, our system has identified the following question(s) to ask. Learn more.

announcement Do you offer mutual funds that have 12b-1 fees?

Why ask? 12b-1 fees increase the total annual cost of owning a mutual fund with no guarantee of higher returns. Some firms receive these fees as payments, which creates an incentive to promote them.

announcement Which securities do you trade for yourself that you will also be recommending to me?

Why ask? This firm 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.



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Firm Information


As a financial advisory firm, also known as a Registered Investment Advisor (RIA), Canterbury Investment Management can provide a variety of financial planning services for Americans. The goal of a financial advisor is to review your personal finances and work with you to achieve your life goals, e.g., saving for retirement, by creating a comprehensive financial plan. Financial advisors focus primarily on money management, including investments like stocks, ETFs, and mutual funds.

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.

Summary Firm
Minimum Investment Ask firm
Average Client Balance $64,603
Total AUM $150.4 million
Fee Range Ask firm
Advisor / Client Ratio 1:776
Website Visit Site
Phone Number 317-732-2075
Headquarters Zionsville, IN
Locations See locations
Facebook Facebook page unknown
Twitter Twitter handle unknown
LinkedIn LinkedIn page unknown
SEC Filings View SEC IAPD CRD #125680





Disciplinary History


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 Canterbury Investment Management:




Cost


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").


View Fee Disclosures




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This automated report was generated using SEC and FINRA data and was last updated on October 28th, 2020*. For data support, email "support@investor.com". Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.


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