Secfi Advisory Limited

CRD#306961
Investment Advisor Firm

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Learn more about Secfi Advisory Limited

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

    • Overview

    Secfi Advisory Limited is located at 43 W 23rd Street, New York, NY. The firm employs 9 financial advisors to manage client portfolios and provide financial guidance. Secfi Advisory Limited is not a registered broker-dealer.

    Secfi Advisory Limited oversees $156.3 million in assets under management across 139 accounts, of which 138 are discretionary and 1 is non-discretionary. Over the past year, the firm has provided financial planning services to between 26 and 50 clients. The services offered include financial planning services, portfolio management for individuals and small businesses, and portfolio management for pooled investment vehicles. The firm caters to retail investors and pooled investment vehicles, with retail investors being the largest client type by accounts. The fee structure at Secfi Advisory Limited includes asset-based, fixed, and performance-based fees. The firm maintains affiliations with a broker-dealer or securities dealer.

    Secfi Advisory Limited is registered in the states of California, Florida, Illinois, Massachusetts, Missouri, New York, Texas, Utah, and Washington.

    Assets Under Management

    $156.3 million

    Number of Advisors

    9

    Disclosures

    No

    Office Location

    43 W 23Rd Street
    New York, NY 10010

    Secfi Advisory Limited by the Numbers

    Total Assets Under Management

    $156.3 million

    National Average: $8.6 billion
    Total Number of Employees

    15

    National Average: 64
    Total Number of Accounts

    139

    National Average: 375,227
    Average Account Size

    $1.1 million

    National Average: $23.0 thousand
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    Products and Services

    Secfi Advisory Limited offers a number of services, which can include financial planning services, portfolio management for individuals and small businesses, and portfolio management for pooled investment vehicles. In the prior fiscal year, Secfi Advisory Limited provided financial planning services to 26-50 of its accounts. The Company is not engaged in selling products or offering services other than investment advice to its investment advisory clients.

    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

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    Fee Structure

    A financial advisor's fees largely depend on which service is offered. Fees billed by Secfi Advisory Limited likely include any combination of the following fee structures: asset-based, fixed, or performance-based.

    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 26% 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.

    • 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 21% of firms that offer this fee type

      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.

    • 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 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.

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    Types of Clients

    The firm works with retail investors and pooled investment vehicles. Out of its 2 clients, Secfi Advisory Limited's largest client type by number of accounts is pooled investment vehicles.

    • High-Net-Worth Individuals* - 0%
    • Other Individuals - 97.84%
    • Corporations - 2.16%
    • 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

    Secfi Advisory Limited does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Secfi Advisory Limited

    John Morrison
    New York, NY
    Natalie Cook
    New York, NY
    Michael Allred
    New York, NY
    Nathaniel Piauwasdy
    New York, NY
    Brett Wysopal
    New York, NY
    Christopher Arnold
    University City, MO
    John Klingler
    New York, NY

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