Surepath Financial Services, LLC

CRD#289576
Investment Advisor Firm

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Learn more about Surepath Financial Services, LLC

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

    • Overview

    Surepath Financial Services, LLC is an advisory firm that has its headquarters in Woodstock, Georgia. Surepath Financial Services, LLC controls $9.9 million in assets under management across 87 customer accounts. It has a small group of one employee who is a financial advisor. Surepath Financial Services, LLC 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 clients and instead is required to go through a broker-dealer company to do so. Securities are tradable financial assets such as options, bonds and stocks.

    Surepath Financial Services, LLC administers all of the company's client assets in a discretionary manner. Discretionary management means that a portfolio manager has the discretion to make buy and sell choices without requiring the customer's approval. The company supervises about $114,074 for every customer account. $100,001 to $500,000 of their financial planning investments were in securities, with $100,001 to $500,000 placed in non-securities. An average financial advisor at Surepath Financial Services, LLC administers around 87 client accounts.

    The firm's main office is located at 3380 Trickum Road, Woodstock, Georgia 30188-3681. It is legally permitted to serve customers in the state of Georgia.

    Assets Under Management

    $9.9 million

    Number of Advisors

    1

    Disclosures

    No

    Office Location

    3380 Trickum Road
    Woodstock, GA 30188-3681

    Surepath Financial Services, LLC by the Numbers

    Total Assets Under Management

    $9.9 million

    National Average: $9.0 billion
    Total Number of Employees

    1

    National Average: 71,771
    Total Number of Accounts

    87

    National Average: 4,329
    Average Account Size

    $114.1 thousand

    National Average: $2.1 million
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    Products and Services

    Surepath Financial Services, LLC provides multiple services, including financial planning services, portfolio management for individuals and small businesses and educational seminars. In the last fiscal year, the company provided 1-10 of its customers with financial planning services. The company does not sell products or offer services apart from investment advisory services to its investment advisory accounts.

    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 47% 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

    • Find a firm that offers this service

      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.

    • Offered by 7% of firms

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Fees for financial advice usually depend on which services the firm provides the client. Fee types billed by Surepath Financial Services, LLC most likely include the following fee types: asset-based, hourly or fixed. Surepath Financial Services, LLC participates in a wrap fee program, in which the firm offers a service bundle for a comprehensive fee. Surepath Financial Services, LLC can withdraw the fees directly from client accounts.

    Available

    • Offered by 70% 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 33% 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

    Surepath Financial Services, LLC provides services to retail investors and high net worth investors. Out of its 87 accounts, Surepath Financial Services, LLC's largest client group by number of accounts is retail investors, but it also caters to two high-net-worth individuals. The SEC defines a high-net-worth individual as someone 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). None of the company's customers are non-U.S. persons.

    • High-Net-Worth Individuals* - 4.35%
    • Other Individuals - 95.65%
    • 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

    Surepath Financial Services, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Surepath Financial Services, LLC

    David Miller
    Peachtree Corners, GA
    Kenneth O'Leary
    Woodstock, GA

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