Semaphore Investments

CRD#124965
Investment Advisor Firm

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Overview

Semaphore Investments is an advisory firm located in Irvine, California. Semaphore Investments is not a registered broker-dealer, meaning it is not able to buy and sell securities for its accounts and those of its clients and instead is required to go through a broker-dealer firm to do so. Securities are tradable fiscal investments such as equities, bonds and options.

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

The company's main office is located at 16420 Bake Parkway, Irvine, California 92618. The company is legally permitted to serve clients in the state of California.

Editorial note: Under certain conditions, firms can register 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 available information for Semaphore Investments. Please visit the SEC website for more information at https://www.sec.gov

Disclosures

No

Office Location

16420 Bake Parkway
Irvine, CA 92618

Products and Services

Semaphore Investments provides multiple financial services, which can include financial planning services, portfolio management for individuals and small businesses and portfolio management for institutional clients. However, it did not provide any of its customers with financial planning services in the previous fiscal year. The firm is not involved in selling products or offering services aside from investment advisory services to its investment advisory clients. It also has a number of financial industry affiliations, including with a broker-dealer or securities dealer, accountant or accounting firm, 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

Financial advisory fees usually vary depending on the financial services offered. However, fees charged by the company most likely include some combination of the following fee structures: hourly, fixed or other. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm.

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 40% 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.

  • Offered by 12% of firms

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

Unavailable

  • Find one of the 74% of firms that offer this fee type

    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.

  • 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 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.

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Disclosures

Semaphore Investments does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Semaphore Investments

Michael Bienstock
Irvine, CA

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This content was compiled from the SEC and FINRA