Auerbach Investment Services, LLC

CRD#290041
Investment Advisor Firm

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Overview

Auerbach Investment Services, LLC is a financial advisory firm located in Conshohocken, Pennsylvania. Auerbach Investment Services, LLC has $10.5 million in assets under management across 32 accounts. Auerbach Investment Services, LLC has a small group of one employee who is a financial advisor. Auerbach Investment Services, LLC 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 defined as tradable financial assets like bonds, options and equities.

Auerbach Investment Services, LLC oversees 31 of the company's client assets on a discretionary basis. Discretionary management is a structure in which an investment advisor makes buy and sell decisions without requiring client authorization. Auerbach Investment Services, LLC also has one non-discretionary accounts totaling $2.0 million in AUM. The advisory firm's typical account size is $328,744. Under $100,000 of its investments for financial planning services were in securities, with under $100,000 invested in non-securities. The average advisor at Auerbach Investment Services, LLC administers around 32 client accounts, placing it towards the middle in terms of personalization.

The company's main office is at 1100 East Hector Street, Conshohocken, Pennsylvania 19428. The firm is legally permitted to provide services to customers throughout a few states, including Pennsylvania and Texas.

Assets Under Management

$10.5 million

Number of Advisors

1

Fee Structure

Asset-based, Performance-based

Disclosures

No

Office Location

1100 East Hector Street
Conshohocken, PA 19428

Auerbach Investment Services, LLC by the Numbers

Total Assets Under Management

$10.5 million

National Average: $3.3 billion
Total Number of Employees

1

National Average: 4,943
Total Number of Accounts

32

National Average: 2,522
Average Account Size

$328.7 thousand

National Average: $1.3 million

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Products and Services

Auerbach Investment Services, LLC provides multiple services, including portfolio management for individuals and small businesses, portfolio management for institutional clients, selection of other advisers and publication of newsletters. Notably, the company did not provide any of its clients with financial planning services in the previous fiscal year. Auerbach Investment Services, LLC is not involved in selling products or offering services apart from investment advice to its investment advisory customers. The company also has a number of financial industry affiliations, including with an insurance company or agency.

Core Advisor Services

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    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 63% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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    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 23% of firms

    Selection of Other Advisors

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

  • Offered by 4% of firms

    Publication of Periodicals

    This is the publication of various financial education materials.

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    Educational Seminars/Workshops

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

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Fee Structure

A financial advisor's fees usually depend on the financial services provided. However, fee types billed by Auerbach Investment Services, LLC can be comprised of any blend of the following fee types: asset-based or performance-based. Auerbach Investment Services, LLC does not supply a wrap fee program, in which the firm offers a service bundle for a single fee. The company has the ability to withdraw its expenses directly from customer accounts.

Available

  • Offered by 75% 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 17% 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 1% of firms

    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.

Unavailable

  • Find one of the 37% 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 3% 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 40% of firms that offer this fee type

    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.

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    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 company works with retail investors and high net worth investors. Out of its 32 customers, Auerbach Investment Services, LLC's biggest client group is high net worth investors, although it also caters to 14 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 under management 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 represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 73.68%
  • Other Individuals - 26.32%
  • 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

Auerbach Investment Services, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA