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PDM Investment Services Review

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PDM Investment Services, registered in 2011, is a Registered Investment Advisor (RIA) in 1 state(s) with a licensed staff of 1 advisors. PDM Investment Services manages $26.6 million and provides investment advisory services for 63 clients (1:63 advisor/client ratio).



Disciplinary Questions


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


Conflict Questions


After checking the regulatory records of PDM Investment Services, 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), PDM Investment Services 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 $421,555
Total AUM $26.6 million
Fee Range Portfolio Management Fees: $500,000 AUM = 0.7%, $700,000 = 0.6%, $1,500,000+ = 0.5%
Advisor / Client Ratio 1:63
Website Visit Site
Phone Number 248-890-4696
Headquarters No data
Facebook Facebook page unknown
Twitter Twitter handle unknown
LinkedIn Visit Profile
SEC Filings View SEC IAPD CRD #155217

Investment Philosophy


Create a financial plan, good financial and investment advice, portfolio design and management with the goal of outperforming its benchmark after fees. Our Investment Strategy: Portfolio Performance Contributors: Tactical Asset Allocation (% equities, % bonds, % cash), Strategic Asset Allocation (% in each asset, Equity Selection (Active Mutual Funds, Index ETF’s and Individual Stocks)






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 PDM Investment Services:




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




FAQs





Other Firms


Cedar Financial Advisors, Quantum Financial Advisors, P.A, Catch Capital Management, RG Capital




This automated report was generated using SEC and FINRA data and was last updated on August 31st, 2020*. For data support, email "support@investor.com". Views: 196 (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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