Total Investment Management, Inc

CRD#108818
Investment Advisor Firm

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Overview

Total Investment Management, Inc is an advisory company located in Scottsdale, Arizona. The firm manages $1.0 billion in assets across 2,425 accounts, placing it among the bigger firms in the nation by assets under management (AUM). The firm has a small group of nine employees, five of whom are financial advisors. Total Investment Management, Inc is not a registered broker-dealer, signifying that the company is not able to buy and sell securities for its accounts and those of its clients and instead has to go through a broker-dealer firm to do so. Securities are defined as exchangable financial assets such as bonds, options and stocks.

Total Investment Management, Inc administers all of the company's client assets on a discretionary basis. Discretionary management is a structure in which buy and sell judgments are made by an investment advisor without needing the customer's consent. Total Investment Management, Inc oversees about $419,059 in assets for each client account. The typical financial advisor at Total Investment Management, Inc manages around 485 client accounts.

The company's headquarters is at 9383 East Bahia Drive, Scottsdale, Arizona 85260. Total Investment Management, Inc is legally registered to serve investors throughout 37 U.S. states and territories.

Assets Under Management

$1.0 billion

Number of Advisors

5

Disclosures

No

Office Location

9383 East Bahia Drive
Scottsdale, AZ 85260

Total Investment Management, Inc by the Numbers

Total Assets Under Management

$1.0 billion

National Average: $3.3 billion
Total Number of Employees

9

National Average: 31
Total Number of Accounts

2,425

National Average: 1,935
Average Account Size

$419.1 thousand

National Average: $1.7 million

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Products and Services

Total Investment Management, Inc offers a number of financial services, which can consist of financial planning services, portfolio management for individuals and small businesses, selection of other advisers and publication of newsletters. In the prior fiscal year, Total Investment Management, Inc provided 1-10 of its customers with financial planning services. The firm is not involved in selling products or offering services other than investment advisory services to its investment advisory clients. The firm is affiliated with a number of other companies in the financial services industry, including with a broker-dealer or securities dealer.

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.

  • Offered by 61% of firms

    Portfolio Management

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

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    Market Timing Services

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

Other Services

  • Offered by 23% of firms

    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.

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    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 services offered. Fees charged by the firm most likely consist of some combination of the following fee types: asset-based or fixed. The firm does not participate in a wrap fee program, in which the firm offers a bundle of services for a comprehensive fee.

Available

  • Offered by 72% 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 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

    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 35% 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 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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Types of Clients

The company works with retail investors and high net worth investors. Out of its 2,425 clients, Total Investment Management, Inc's biggest client group is retail investors, although it also manages money for 287 high-net-worth individuals. The SEC defines a high-net-worth individual as a person who has at least $750,000 under management or a net worth of at least $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the firm's accounts are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 17.98%
  • Other Individuals - 82.02%
  • Corporations - 0%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Total Investment Management, Inc does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Total Investment Management, Inc

John Greer
Scottsdale, AZ
Nicholas Parisi
Scottsdale, AZ
Bryan Lee
Scottsdale, AZ
Todd Foster
Scottsdale, AZ
Philip Lowe
Scottsdale, AZ
James Hughes
Scottsdale, AZ
Patrick Brock
Scottsdale, AZ
John Foster
Scottsdale, AZ

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This content was compiled from the SEC and FINRA