The Balance Of Trade

CRD#291982
Investment Advisor Firm

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Overview

The Balance Of Trade operates as a financial advisor firm based in Scottsdale, Arizona. It has a small team of two employees, of which 1 is a financial advisor. The Balance Of Trade is not a registered broker-dealer, meaning the advisor cannot buy and sell securities for its customers' and own accounts and instead is required to go through a broker-dealer company to do so. Securities are tradable financial investments such as stocks, bonds and options.

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

The Balance Of Trade's headquarters is located at 27521 N. 137Th St., Scottsdale, Arizona 85262. The firm is allowed to serve investors in the state of Arizona.

Number of Advisors

1

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: 31

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Products and Services

The Balance Of Trade provides multiple services, including financial planning services, publication of newsletters, market timing services and educational seminars. However, the company did not provide any of its clients with financial planning services in the previous financial year. The firm is not engaged in selling products or offering services other than investment advisory services to its investment advisory accounts.

Core Advisor Services

  • Offered by 44% 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

Financial advisory fees typically vary depending on which services the firm provides the client. Fees billed by The Balance Of Trade can be comprised of some blend of the following fee types: hourly or fixed. The company does not participate in a wrap fee program, in which the firm offers a service bundle for a comprehensive fee.

Available

  • Offered by 35% 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 39% of firms

    Fixed

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    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 72% of firms that offer this fee type

    Percentage of Assets

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    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 2% 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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Financial Advisors at The Balance Of Trade

Adam Zingg
Scottsdale, AZ

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This content was compiled from the SEC and FINRA