Financial Connection, Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Financial Connection, Inc. provides discretionary portfolio management and advisory services to individuals, trusts, retirement plans and business entities. The firm also offers financial planning and consultative services where no ongoing management is provided.
Investment management is tailored to each client through an Investment Policy Statement and clients may impose restrictions; accounts are reviewed at least quarterly and more frequently for volatile holdings. The firm uses multiple analytical methods—charting, fundamental, technical and cyclical—and implements a range of strategies including long- and short-term purchases, trading, short sales and margin.
The firm combines advisory services with life and health insurance brokerage and employee benefit plan consulting, and it serves corporate/institutional clients such as retirement plans—activities that are less common among solo independent advisers. The firm does not take custody of client assets, does not accept compensation for selling securities, and also provides securities arbitration and litigation consulting within the firm.
Client services
Expertise
Fee options
Negotiated flat fee for consultative services
$0 - $100,000: 1.50% annually (Growth Accounts) $100,001 - $500,000: 1.00% annually (Growth Accounts) $500,001 - $3,000,000: 0.75% annually (Growth Accounts) $3,000,001+: 0.65% annually (Growth Accounts) $0 - $100,000: 0.65% annually (Income Accounts) $100,001 - $500,000: 0.50% annually (Income Accounts) $500,001 - $3,000,000: 0.35% annually (Income Accounts) $3,000,001+: 0.25% annually (Income Accounts)
Up to $400 per hour, or a negotiated flat fee
Minimum fee: Minimum quarterly fee of $250
Main office
7000 W Palmetto Park Rd, Suite 210
Boca Raton FL 33433
Advisors at this office
1
Most active in
Florida
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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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