Directional Financial Services

CRD#171903
Investment Advisor Firm

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Overview

Directional Financial Services operates as an advisory company headquartered in Seattle, Washington. It administers $7.3 million in total assets across 74 client accounts. Directional Financial Services has a small group, including 6 financial advisors. Directional Financial Services is not a registered broker-dealer, signifying that the advisor 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 firm to do so. Securities are defined as tradable financial investments such as bonds, stocks and options.

Directional Financial Services manages all of its client assets on a discretionary basis. Discretionary management signifies that transaction judgments for the client's account are made by a portfolio manager without requiring client authorization. The advisory firm oversees roughly $98,388 in assets for every client account. The typical advisor at Directional Financial Services administers around 12 client accounts, placing it among the more personalized financial advisor firms in the country.

The company's central office is located at 1420 5Th Ave, Seattle, Washington 98101. The company is allowed to provide services to clients throughout a few states, including Oregon and Washington.

Assets Under Management

$7.3 million

Number of Advisors

6

Disclosures

No

Office Location

1420 5Th Ave
Seattle, WA 98101

Directional Financial Services by the Numbers

Total Assets Under Management

$7.3 million

National Average: $8.6 billion
Total Number of Employees

7

National Average: 64
Total Number of Accounts

74

National Average: 375,227
Average Account Size

$98.4 thousand

National Average: $23.0 thousand
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Products and Services

Financial services that Directional Financial Services provides include financial planning services and portfolio management for individuals and small businesses. However, the firm did not provide financial planning services to any of its customers in the prior financial year. The company does sell products or offer services other than investment advisory services to its customers. It is also affiliated with a number of other companies in the financial services industry, 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

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Fee Structure

A financial advisor's fees largely are based on the type of financial services provided. Fees billed by the firm can include the following fee structures: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the firm.

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.

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Types of Clients

It works with retail investors. Out of its 74 clients, Directional Financial Services's biggest client type by number of accounts is retail investors. None of the company's accounts are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 100%
  • 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

Directional Financial Services does not have any disclosures.

Please visit its Form ADV for more details.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.