Mark T. Harvey Investments

CRD#169170
Investment Advisor Firm

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Overview

Mark T. Harvey Investments is a financial advisory company headquartered in Irvine, California. Mark T. Harvey Investments has a small group of one employee who is a financial advisor. Mark T. Harvey Investments is not a registered broker-dealer, meaning it cannot buy and sell securities for its accounts and those of its clients and instead must go through a broker-dealer company to do so. Securities are exchangable fiscal investments like options, equities and bonds.

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

Mark T. Harvey Investments's main office is located at 4000 Barranca Parkway, Irvine, California 92604. Mark T. Harvey Investments is allowed to provide services to investors in the state of California.

Editorial note: In certain cases, firms are able to file as exempt reporting advisors with the SEC, meaning they file a shorter version of the Form ADV. As a result, this is all of the publicly available information for Mark T. Harvey Investments. Please visit the SEC website for more information at https://www.sec.gov

Number of Advisors

1

Disclosures

No

Office Location

4000 Barranca Parkway
Irvine, CA 92604

Mark T. Harvey Investments by the Numbers

Total Number of Employees

1

National Average: 29

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Products and Services

Services that Mark T. Harvey Investments offers include financial planning services and portfolio management for individuals and small businesses. In the prior financial year, Mark T. Harvey Investments provided 11-25 of its accounts with financial planning services. It is engaged in selling products or offering services other than investment advisory services to its customers. The company is affiliated with a number of other companies in the financial services industry, including with an insurance company or agency and real estate broker or dealer.

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

A financial advisor's fees largely are based on which services the firm provides the client. Fees charged by the company likely are comprised of any blend of the following fee types: asset-based, hourly, fixed or commission-based. The firm does not participate in a wrap fee program, in which the company offers a service bundle for a single fee. Mark T. Harvey Investments can withdraw its charges directly from client accounts.

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 2% of firms

    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.

  • 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 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 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 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

Mark T. Harvey Investments does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Mark T. Harvey Investments

Mark Harvey
Irvine, CA

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This content was compiled from the SEC and FINRA