The Balance Of Trade

CRD#291982
Investment Advisor Firm

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Overview

The Balance Of Trade is a financial advisory company based in Scottsdale, Arizona. The firm has a small team of two employees, of which 1 is a financial advisor. The Balance Of Trade does not act as a registered broker-dealer, signifying that the firm cannot buy and sell securities for its own accounts as well as its clients' and instead has to go through a broker-dealer firm to do so. Securities are defined as tradable fiscal investments such as bonds, stocks and options.

Under $100,000 of their investments for financial planning services were in securities, with under $100,000 invested in non-securities.

The company's central office is located at 27521 N. 137Th St., Scottsdale, Arizona 85262. It is legally permitted to serve clients in the state of Arizona.

Number of Advisors

1

Fee Structure

Hourly, Fixed

Disclosures

No

Office Location

27521 N. 137Th St.
Scottsdale, AZ 85262

The Balance Of Trade by the Numbers

Total Number of Employees

2

National Average: 4,943

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Products and Services

The Balance Of Trade offers multiple financial services, which can include financial planning services, publication of newsletters, market timing services and educational seminars. However, The Balance Of Trade did not provide financial planning services to any of its clients in the last financial year. The Balance Of Trade is not involved in selling products or offering services apart from investment advisory services to its investment advisory clients.

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.

  • Offered by 0% of firms

    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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    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Offered by 4% of firms

    Publication of Periodicals

    This is the publication of various financial education materials.

  • Offered by 10% of firms

    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Fees charged by financial advisors usually vary depending on the financial services offered. Fees charged by The Balance Of Trade most likely include the following fee structures: hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the company.

Available

  • Offered by 37% of firms

    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.

  • Offered by 1% of firms

    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.

  • Offered by 40% of firms

    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.

Unavailable

  • Find one of the 75% of firms that offer this fee type

    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.

  • Find one of the 3% of firms that offer this fee type

    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.

  • 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 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

The Balance Of Trade 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