Advanced Financial Services

CRD#162142
Investment Advisor Firm

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Overview

Advanced Financial Services is a financial advisory firm located in Scottsdale, Arizona. It has a small team of two employees, all of whom are financial advisors. Advanced Financial Services is not a registered broker-dealer, signifying that the advisor cannot buy and sell securities for its accounts and those of its customers and instead must go through a broker-dealer firm to do so. Securities are defined as tradable financial assets like options, equities and bonds.

Under $100,000 of its financial planning investments were in securities, with under $100,000 placed in non-securities.

The firm's main office is located at 8777 N. Gainey Center Dr., #191, Scottsdale, Arizona 85258. It is legally allowed to provide services to clients in the state of Arizona.

Editorial note: In certain cases, advisors and firms can file as exempt reporting advisors with the SEC, meaning they file an abbreviated version of the Form ADV. As a result, this is all of the available information for Advanced Financial Services. Please visit the SEC website for more information at https://www.sec.gov

Number of Advisors

2

Fee Structure

Asset-based, Commission-based

Disclosures

No

Office Location

8777 N. Gainey Center Dr., #191
Scottsdale, AZ 85258

Advanced Financial Services by the Numbers

Total Number of Employees

2

National Average: 4,943

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Products and Services

Services provided by Advanced Financial Services include financial planning services. In the last fiscal year, the firm provided financial planning services to 1-10 of its customers. It is not engaged in selling products or offering services aside from investment advisory services to its investment advisory accounts.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

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    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

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Fee Structure

Fees charged by financial advisors usually vary depending on which services the firm provides the client. Fees charged by the company can include some combination of the following fee types: asset-based or commission-based. Advanced Financial Services does not participate in a wrap fee program, in which the firm offers a bundle of services for a comprehensive fee.

Available

  • Offered by 75% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 3% of firms

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

Unavailable

  • Find one of the 37% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 40% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Disclosures

Advanced Financial Services does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA