March 1st, 2022
Wambolt & Associates, registered in 2010, serves 7 state(s) with a licensed staff of 6 advisors. Wambolt & Associates manages $327.6 million and provides investment advisory services for 462 clients (1:77 advisor/client ratio).
|Average Client Balance||$709,146|
|Total AUM||$327.6 million|
|Fee Range||Management fees range depending on your portfolio value and services provided. Our asset-based fee schedule has a blended tier rate to provide the greatest value to clients who consolidate with our firm. Services may include financial planning, proactive tax planning and preparation, estate planning, will and trust execution, and individual securities investments. Fees are available upon request.|
|Advisor / Client Ratio||1:77|
|Specialities||Retirement Planning, Tax Planning, Business Owners, Estate Planning, Family Office|
|SEC Filings||View SEC IAPD CRD #153454|
Wambolt & Associates has been bringing value to clients for over 30 years. Our investment management approach is centered around designing custom financial plans, proactive tax and estate planning, and leveraging a broad array of tools that consistently enhance client planning outcomes. We operate as a fiduciary which means that every decision and recommendation is in our client’s best interest. We specialize in designing custom portfolio strategies with disciplined individual security selection and ongoing management. This allows us to control several aspects such as tax and cash flow planning, minimizing internal fees, and optimizing risk-adjusted returns. Proactively connecting our portfolio management expertise with tax and estate planning is where our clients succeed.
After checking the disciplinary records of Wambolt & Associates, our system found no disciplinary questions to ask. Checks take place monthly.
After checking the regulatory records of Wambolt & Associates, our system has identified the following question(s) to ask. Learn more.
Wambolt & Associates 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.
Wambolt & Associates 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 Wambolt & Associates:
|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, Wambolt & Associates 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.
Wambolt & Associates is headquartered in Littleton, CO and currently serves in 7 states: Arizona, California, Colorado, Florida, Nebraska, Oklahoma, Texas.
While Wambolt & Associates advises clients across a variety of portfolio sizes, the average client balance is currently $709,146. In total, Wambolt & Associates manages $327,625,599 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 March 1st, 2022*. For data support, email "firstname.lastname@example.org". Views: 330 (trailing six months). Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.