Auerbach Investment Services, LLC

CRD#290041
Investment Advisor Firm

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Overview

Auerbach Investment Services, LLC operates as an advisory company headquartered in Conshohocken, Pennsylvania. The company has $10.5 million in assets under management throughout 32 client accounts. The company has a small team of one employee who is a financial advisor. Auerbach Investment Services, LLC does not act as a registered broker-dealer, meaning the firm 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 exchangable financial assets such as options, bonds and stocks.

Auerbach Investment Services, LLC administers the majority of its accounts on a discretionary basis. Discretionary management is a structure in which transaction decisions are made by a portfolio manager without requiring the customer's approval. Auerbach Investment Services, LLC also has one non-discretionary accounts totaling $2.0 million in assets under management. The advisory firm's typical account size is $328,744. Under $100,000 of its financial planning investments were in securities, with under $100,000 invested in non-securities. An average advisor at Auerbach Investment Services, LLC administers about 32 client accounts, placing it towards the middle in terms of personalization.

Auerbach Investment Services, LLC's main office is located at 1100 East Hector Street, Conshohocken, Pennsylvania 19428. The firm is permitted to provide services to clients throughout a number of states, including Pennsylvania and Texas.

Assets Under Management

$10.5 million

Number of Advisors

1

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: 31
Total Number of Accounts

32

National Average: 1,935
Average Account Size

$328.7 thousand

National Average: $1.7 million

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Products and Services

Auerbach Investment Services, LLC provides a variety of financial services, which can include portfolio management for individuals and small businesses, portfolio management for institutional clients, selection of other advisers and publication of newsletters. However, the firm did not provide financial planning services to any of its clients in the last fiscal year. The company does not sell products or offer services other than investment advice to its investment advisory accounts. The company is affiliated with a number of other companies in the financial services industry, 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 61% 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

Fees for financial management usually depend on which services the firm provides the client. Fee types billed by the company may include the following fee structures: asset-based or performance-based. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the company. The company has the ability to withdraw the fees directly from customer accounts.

Available

  • Offered by 72% 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 35% 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 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 39% 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 provides services to retail investors and high net worth investors. Out of its 32 customers, Auerbach Investment Services, LLC's largest client group is high net worth investors, but it also caters to 14 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 in AUM or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's customers are from outside of the U.S.

  • 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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Financial Advisors at Auerbach Investment Services, LLC

Kevin Auerbach
Conshohocken, PA

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This content was compiled from the SEC and FINRA