Walser Wealth Management Company, A Limited Liability Company

CRD#206518
Investment Advisor Firm

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Learn more about Walser Wealth Management Company, A Limited Liability Company

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

    • Overview

    Walser Wealth Management Company, A Limited Liability Company operates as a financial advisory firm that has its headquarters in Tampa, Florida. It handles $104.2 million in total assets over 614 client accounts, placing it in the mid-tier of investment advisory firms in the nation by assets under management (AUM). The company has a small team, including 6 financial advisors. Walser Wealth Management Company, A Limited Liability Company is not a registered broker-dealer, signifying that it cannot buy and sell securities for its own accounts as well as its clients' and instead must go through a broker-dealer firm to do so. Securities are defined as tradable financial assets such as bonds, options and equities.

    Walser Wealth Management Company, A Limited Liability Company oversees all of the firm's accounts in a discretionary manner. Discretionary management signifies that buy and sell decisions for the client's account are made by an investment advisor without requiring client authorization. The company's average account size is $169,752. The typical advisor at Walser Wealth Management Company, A Limited Liability Company administers about 102 client accounts.

    The firm's central office is at 777 S. Harbour Island Blvd, Tampa, Florida 33602. It is allowed to serve clients throughout a number of states, including Florida and Illinois.

    Assets Under Management

    $104.2 million

    Number of Advisors

    6

    Disclosures

    No

    Office Location

    777 S. Harbour Island Blvd
    Tampa, FL 33602

    Walser Wealth Management Company, A Limited Liability Company by the Numbers

    Total Assets Under Management

    $104.2 million

    National Average: $8.6 billion
    Total Number of Employees

    9

    National Average: 64
    Total Number of Accounts

    614

    National Average: 375,227
    Average Account Size

    $169.8 thousand

    National Average: $23.0 thousand
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    Products and Services

    Walser Wealth Management Company, A Limited Liability Company offers a variety of financial services, including financial planning services, portfolio management for individuals and small businesses and selection of other advisers. In the prior fiscal year, the company provided 101-250 of its customers with financial planning services. The company does not sell products or offer services aside from investment advisory services to its investment advisory clients. It also has a number of financial industry affiliations, including with a lawyer or law firm and insurance company or agency.

    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

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

    • Find a firm that offers this service

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Find a firm that offers this service

      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 depend on the services provided. Fees billed by Walser Wealth Management Company, A Limited Liability Company can include some combination of the following fee structures: asset-based, hourly or fixed. Walser Wealth Management Company, A Limited Liability Company does not participate in a wrap fee program, in which the firm offers a service bundle for a single 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.

    Back to Overview

    Types of Clients

    It provides services to retail investors and high net worth investors. Out of its 614 customers, Walser Wealth Management Company, A Limited Liability Company's biggest client is retail investors, but it also manages money for nine high-net-worth individuals. A high-net-worth individual is defined by the SEC as someone who has at least $750,000 in AUM 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). None of the firm's customers are represented by people from outside of the U.S.

    • High-Net-Worth Individuals* - 2.81%
    • Other Individuals - 97.19%
    • 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

    Walser Wealth Management Company, A Limited Liability Company does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Walser Wealth Management Company, A Limited Liability Company

    Michael Abbott
    Tampa, FL
    Mark Nelson-Maruska
    Tampa, FL
    Rebecca Walser
    Tampa, FL
    Randall Thorn
    Tampa, FL
    Wentworth Gardner
    Tampa, FL
    Shannon Stophel
    Tampa, FL
    John Rosenfeld
    Tampa, FL

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