Hamilton And Associates

CRD#155865
Investment Advisor Firm

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Learn more about Hamilton And Associates

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Hamilton And Associates is a financial advisor company headquartered in La Jolla, California. It handles $133.9 million in assets under management across 396 customer accounts, making it a mid-tier investment advisory firm in the United States by assets under management (AUM). It has a small group, including 2 financial advisors. Hamilton And Associates does not act as a registered broker-dealer, signifying that the firm is not able to buy and sell securities for its clients' and own accounts and instead has to go through a broker-dealer firm to do so. Securities are defined as tradable fiscal investments such as bonds, options and equities.

    Hamilton And Associates manages some of the firm's accounts on a discretionary basis. Discretionary management signifies that buy and sell decisions are made by a portfolio manager without needing to seek the customer's authorization. The firm also has 255 non-discretionary accounts with a total of $102.9 million in assets. Hamilton And Associates's typical account size is $338,098. The typical financial advisor at Hamilton And Associates oversees about 198 client accounts.

    Hamilton And Associates's main office is at 7979 Ivanhoe Ave., La Jolla, California 92037. Hamilton And Associates is legally permitted to provide services to clients throughout 2 states, including California and Washington.

    Assets Under Management

    $133.9 million

    Number of Advisors

    2

    Disclosures

    No

    Office Location

    7979 Ivanhoe Ave.
    La Jolla, CA 92037

    Hamilton And Associates by the Numbers

    Total Assets Under Management

    $133.9 million

    National Average: $8.6 billion
    Total Number of Employees

    5

    National Average: 64
    Total Number of Accounts

    396

    National Average: 375,227
    Average Account Size

    $338.1 thousand

    National Average: $23.0 thousand
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    Products and Services

    Hamilton And Associates provides multiple financial services, which can include financial planning services, portfolio management for individuals and small businesses and other services. Notably, it did not provide any of its clients with financial planning services in the prior fiscal year. The firm does sell products or offer services apart from investment advice to its customers.

    Core Advisor Services

    • Offered by 31% 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 46% of firms

      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 for financial advice usually are based on which service is provided. Fee types charged by the company can include any combination of the following fee structures: asset-based, hourly or fixed. Hamilton And Associates participates in a wrap fee program, in which the company offers a service bundle for a comprehensive fee.

    Available

    • Offered by 69% 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 21% 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 32% 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 1% 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 26% 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 0% 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 10% 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 firm caters to retail investors, high net worth investors and pension plans. Out of its 396 clients, Hamilton And Associates's largest client by number of accounts is retail investors, though it also serves 56 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its accounts are represented by people from outside of the U.S.

    • High-Net-Worth Individuals* - 32.37%
    • Other Individuals - 64.74%
    • Corporations - 2.89%
    • 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

    Hamilton And Associates does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Hamilton And Associates

    Nathan Manor
    La Jolla, CA
    Keith Hamilton
    La Jolla, CA

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