Dedicated Independent Wealth Managers

Transparent Advisors

As a registered investment advisor, we are objective in our advice, open in our process, and straightforward in our communication. We have no hidden agendas or fees. As independent advisors, we have the freedom and the flexibility to align our guidance with your objectives, investing your assets in your best interest.

Comprehensive Wealth Managers

Our goal is to provide you with a customized financial plan and an investment strategy that meets your needs now and into the future. We work with you to identify your goals and anticipate life’s milestones to help ensure you have enough money to fund your wants as well as your needs. And when the need arises, we counsel you through life-changing events with patience and purpose.

Clear, Consistent Communicators

Believing information is central to successful investing,we make sure you have an ongoing understanding of our process and perspective, including the benefits of proactive wealth management. We also arm you with up-to-date information on industry trends and review your investment performance on a regular basis. This way, you have the perspective to make informed decisions and maintain peace of mind.

Independent Model vs. Brokerage Model

    •  
    • Registered Investment Advisor
      (SteelPeak)
    • Registered
      Representative
    • Primary Function
    • Compensation
    • Responsibility to Client
    • Regulatory
    • Advice
    • Typically charge a flat fee for advice or a percentage of assets under management
    • Fiduciary RIAs are legally bound to serve the interests of their clients
    • RIAs are overseen by the Securities and Exchange Commission (SEC)
    • Facilitate securities purchase and sale transactions for their clients
    • Usually commission based

    • Facilitate securities purchase and sale transactions for their clients
    • FINRA (Financial Industry Regulatory Authority), along with the SEC and state regulatory agencies
    •  
    • Registered
      Representative
    • Primary Function
    • Compensation
    • Responsibility to Client
    • Regulatory
    • Facilitate securities purchase and sale transactions for their clients
    • Usually commission based

    • Facilitate securities purchase and sale transactions for their clients
    • FINRA (Financial Industry Regulatory Authority), along with the SEC and state regulatory agencies