1st & 3rd Investments LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$1,363,385
Clients
18
Advisors
1
of 2 employees
About
1st & 3rd Investments provides discretionary portfolio management and financial planning to individuals, families, small businesses, and retirement plans, and also offers pension and corporate retirement consulting as well as educational seminars and workshops. The firm states that financial planning is provided to clients and prospects at no additional charge and delivers quarterly account statements and annual performance reports.
The firm’s investment process blends fundamental security research with technical and charting analysis, cyclical assessment, and proprietary security pricing inputs, and it uses corporate rating services among its information sources. Strategies described in the brochure range from long-term and dividend-growth approaches to short-term trading, market-timing techniques, option writing, margin use, and participation in IPOs when appropriate.
What is distinctive is the combination of a small, boutique advisory platform with active trading and market-timing elements and direct use of security-level ratings and pricing in its decision-making, features that are less common among similar supported firms. The firm’s principal maintains active outside employment as a commercial airline pilot and prior military service is noted in the brochure; the firm discloses that this employment occupies a significant portion of the principal’s time but does not impede client service.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
Fixed fees up to $5,000 annually for individual consultation and corporate retirement planning
$0 - $1,000,000: 1.00% annually $1,000,001+: 0.90% annually
Up to $500 per hour for individual consultation and corporate retirement planning services
Account minimum: $1,000,000 Fee-only: Hourly fees up to $500 per hour; Fixed fees up to $5,000 annually for certain services
Main office
Vestavia Hills AL
Advisors at this office
1
Most active in
Alabama · Louisiana
Also doing business as
1 St & 3 Rd Investments LLC · Duncan Law, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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