January 4th, 2021
Corda Investment Management, registered in 1999, serves 34 state(s) with a licensed staff of 17 advisors. Corda Investment Management manages $1.2 billion and provides investment advisory services for 1,236 clients (1:73 advisor/client ratio).
|Average Client Balance||$937,702|
|Total AUM||$1.2 billion|
|Fee Range||Our fee is 1% annually on the first $2 million, .75% on the next $3 million, and .10% over $5 million. Please see our ADV.|
|Advisor / Client Ratio||1:73|
|Specialities||Retirement Planning, Estate Planning, Socially Responsible Investment, Investment Planning and Management|
|SEC Filings||View SEC IAPD CRD #108046|
We build long term individualized portfolios and seek to purchase businesses trading at a discount to intrinsic value. This time tested approach was set forth originally by Benjamin Graham and implemented by others such as Warren Buffett. We incorporate ESG data as part of the overall investment process. Our goal is to reduce risk and identify businesses striving for sustainable excellence.
After checking the disciplinary records of Corda Investment Management, our system found no disciplinary questions to ask. Checks take place monthly.
After checking the regulatory records of Corda Investment Management, our system has identified the following question(s) to ask. Learn more.
Corda 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 Corda 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, Corda 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.
Corda Investment Management is headquartered in Houston, TX. Corda Investment Management offers financial advisor services in 34 states: Alabama, Arizona, Arkansas, California, Colorado, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Kentucky, Louisiana, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Virginia, Washington, Wisconsin.
While Corda Investment Management advises clients across a variety of portfolio sizes, the average client balance is currently $937,702. In total, Corda Investment Management manages $1,159,000,000 in assets.
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 January 4th, 2021*. For data support, email "email@example.com". Views: 750 (trailing six months). Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.