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Hatcher Capital Investments Review

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Hatcher Capital Investments, registered in 2019, serves 1 state(s) with a licensed staff of 1 advisors. Hatcher Capital Investments manages $9.9 million and provides investment advisory services for 67 clients (1:67 advisor/client ratio).



Firm Information


Summary Firm
Minimum Investment Ask firm
Average Client Balance $147,865
Total AUM $9.9 million
Fee Range Ask firm
Advisor / Client Ratio 1:67
Languages Offered Ask firm
Specialities Ask firm
Website Visit Site
Phone Number 501-747-2656
Headquarters Little Rock, AR
Locations See locations
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SEC Filings View SEC IAPD CRD #300230


Disciplinary Questions


After checking the disciplinary records of Hatcher Capital Investments, our system found no disciplinary questions to ask. Checks take place monthly.



Conflict Questions


After checking the regulatory records of Hatcher Capital Investments, our system has identified the following question(s) to ask. Learn more.


Is Hatcher Capital Investments also a Broker-Dealer or are they affiliated with one? What conflicts arise from this relationship? How does Hatcher Capital Investments mitigate them?


Currently Hatcher Capital Investments is also a Broker-Dealer or is affiliated with one. When firms are dual-registered as broker-dealers, they may be subject to compensation-related conflicts of interest, including revenue sharing from mutual funds, cross-selling of commissioned insurance products, and the sale of proprietary investment products. All of these conflicts can negatively impact clients via hidden fees and overall higher costs.


Does Hatcher Capital Investments offer mutual funds that have 12b-1 fees?


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.


How does Hatcher Capital Investments approach insurance sales? What conflicts do I need to be made aware of?


Currently Hatcher Capital Investments actively practices as insurance brokers or agents, or they are affiliated with an insurance company or agency. This arrangement creates a conflict where the firm and its representatives may be motivated to insure clients with products, including annuities and life insurance, that generate high sales commissions when lower-cost alternatives may exist.


Does Hatcher Capital Investments offer products that have performance-based fees, or does it accept performance-based fees? Will any of my assets be invested in those products?


When performance-based fees are charged, the financial advisor is paid for outperforming a benchmark, typically an index. While this may seem like an attractive compensation structure to ensure your advisor is making your money work for you, often, the managers of those products are incentivized to take inappropriate risks to beat their performance benchmark. For instance, research has shown that mutual funds that use incentive fees take on more risk that funds that do not, and tend to double down and increase their risk following a poor performance. This could be detrimental to a client during down markets.


Does Hatcher Capital Investments perform side-by-side management? How does Hatcher Capital Investments mitigate conflicts that arise from managing accounts with differing fee structures?


This typically occurs when firms manage mutual funds or hedge funds alongside smaller retail accounts. Side-by-side management can create an incentive for the advisor to favor the larger funds, potentially leading to unequal trading costs and unfavorable trade executions for their retail clients.


Does Hatcher Capital Investments accept soft-dollar benefits? How do these benefits affect the firm’s selection of a broker-dealer partner?


Hatcher Capital Investments receives soft-dollar benefits that could incentivize them to push trades through broker-dealers that provide advantages to the firm instead of through broker-dealers that could provide the best trade execution for their clients.


Which securities does Hatcher Capital Investments trade for itself that it will also be recommending to me?


Hatcher Capital Investments 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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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 Hatcher Capital Investments:




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 December 4th, 2021*. For data support, email "support@investor.com". Views: 81 (trailing six months). Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.


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