Hercules Investments

CRD#304719
Investment Advisor Firm

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Overview

Hercules Investments is a financial advisor firm that has its headquarters in Los Angeles, California. It has $58.0 million in assets over 94 accounts. The firm has a small team of 16 employees, including eight financial advisors. Hercules Investments does not act as a registered broker-dealer, meaning it is not able to buy and sell securities for its accounts and those of its customers and instead is required to go through a broker-dealer company to do so. Securities are exchangable fiscal investments like stocks, bonds and options.

Hercules Investments administers all of the firm's accounts in a discretionary manner. Discretionary management is a structure in which an investment advisor makes buy and sell judgments without needing client authorization. Hercules Investments administers about $617,021 in assets for each account. Under $100,000 of its investments for financial planning services were in securities, with under $100,000 placed in non-securities. An average financial advisor at Hercules Investments oversees around 12 client accounts, placing it among the more individualized firms in the country.

The company's main office is located at 633 West 5Th St, Los Angeles, California 90071. Hercules Investments is registered to serve clients in the state of California.

Assets Under Management

$58.0 million

Number of Advisors

8

Disclosures

No

Office Location

633 West 5Th St
Los Angeles, CA 90071

Hercules Investments by the Numbers

Total Assets Under Management

$58.0 million

National Average: $3.7 billion
Total Number of Employees

16

National Average: 29
Total Number of Accounts

94

National Average: 2,073
Average Account Size

$617.0 thousand

National Average: $1.8 million

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Products and Services

Services that Hercules Investments provides include financial planning services and portfolio management for individuals and small businesses. Notably, Hercules Investments did not provide financial planning services to any of its accounts in the last fiscal year. The firm is not involved in selling products or offering services apart 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.

  • Offered by 62% 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 charged by financial advisors typically vary depending on which services the firm provides the client. Fees charged by the firm most likely include some blend of the following fee structures: asset-based, hourly or performance-based. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the firm.

Available

  • Offered by 74% 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 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 17% of firms

    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.

Unavailable

  • 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 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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Types of Clients

The firm caters to retail investors and high net worth investors. Out of its 94 customers, Hercules Investments's largest client is high net worth investors, though it also caters to 84 high-net-worth individuals. A high-net-worth individual is defined by the SEC as a person who has at least $750,000 in AUM or a net worth of more than $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 clients are represented by people from outside of the U.S.

  • High-Net-Worth Individuals* - 82.35%
  • Other Individuals - 17.65%
  • 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

Hercules Investments does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Hercules Investments

Bing Cao
Los Angeles, CA
Anthony Lucchesi
Los Angeles, CA
Erin Schmidt
Los Angeles, CA
Jodi Martenson
Los Angeles, CA
Sylvia Ahn
Los Angeles, CA
James Mcdonald
Los Angeles, CA

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This content was compiled from the SEC and FINRA