Financial Transparency

RIASEC Registered

Total AUM

$322M

Discretionary

$318M

99% of AUM

Avg account

$643K

Accounts

501

Employees

Advisory reps

Firm details

Headquarters: ,
CRD number: 297713
Registered since: July 13, 2018
Website: financialtransparencyllc.com
Custodians: CHARLES SCHWAB & CO., INC., AXOS CLEARING LLC
Fee structure: Percentage of AUM, Fixed Fees
Client types: HNWI72.17%
Individuals19.74%
Pension & Profit Sharing Plans7.98%
Corporations / Businesses0.07%
Charitable Organizations0.03%
Services: Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Financial Transparency is an independent RIA organized as an LLC and registered with the SEC in 2018. The firm is owned by an individual and identifies itself as a capital allocator, managing investments for both individual and family clients as well as institutional accounts. Its revenue model mixes percentage-of-AUM fees with fixed fees, and the firm also operates in an insurance-broker capacity. Advisory services include financial planning, portfolio management for individuals and small businesses, selection of other advisers, pension consulting services, and educational seminars and workshops. The firm is not positioned as an active ESG investor.