November 4th, 2022
Outlook Wealth Advisors, registered in 2018, serves 3 state(s) with a licensed staff of 4 advisors. Outlook Wealth Advisors manages $443.8 million and provides investment advisory services for 514 clients (1:129 advisor/client ratio).
|Average Client Balance||$863,489|
|Total AUM||$443.8 million|
|Advisor / Client Ratio||1:129|
|Specialities||Pre- Retirees, Retirees, Retirement Tax Planning, Petrochemical Industry|
|SEC Filings||View SEC IAPD CRD #291465|
Our team of CPA’s & Certified Financial Planners®️ apply a holistic, fiduciary process to create & implement customized, comprehensive retirement strategies that encompass investment management, forward-thinking income & tax planning, healthcare & long-term care needs & estate planning. We are committed to earning our client’s trust every single day!
After checking the disciplinary records of Outlook Wealth Advisors, our system found no disciplinary questions to ask. Checks take place monthly.
After checking the regulatory records of Outlook Wealth Advisors, our system has identified the following question(s) to ask. Learn more.
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.
Outlook Wealth Advisors 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.
Outlook Wealth Advisors 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 Outlook Wealth Advisors:
|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. To learn more, explore our series of articles about what financial advisors do and what it may cost to work with one, as well as what their titles mean and how to make a smart choice.
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").
|12B-1 Conflict||No data|
|Insurance Agent Conflict - Affiliation||Yes|
|Insurance Agent Conflict - Firm||No|
|Private Investment Management||No|
|Trades Recommended Securities||Yes|
As a financial advisory firm, Outlook Wealth Advisors 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. For further detail, see our articles on different types of advisors and financial advisor services.
Outlook Wealth Advisors is headquartered in Shenandoah, TX and currently serves in 3 states: Florida, Oklahoma, Texas.
While Outlook Wealth Advisors advises clients across a variety of portfolio sizes, the average client balance is currently $863,489. In total, Outlook Wealth Advisors manages $443,833,503 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 November 4th, 2022*. For data support, email "email@example.com". Views: 137 (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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