Financial Strategies
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Financial Strategies is a sole‑proprietorship advisory firm in operation since April 1987 that provides investment advice to individuals, retirement and profit‑sharing plans, IRAs, trusts and estates. The firm emphasizes mutual fund–based portfolio management and also offers advice on individual stocks and bonds, corporate and government debt, municipal securities, certificates of deposit and limited real estate matters.
The adviser employs both fundamental and technical analysis and pursues long‑ and short‑term purchases and trading to meet clients’ growth and income objectives, tailoring recommendations to each client’s risk tolerance and permitting client‑imposed restrictions. It conducts daily price monitoring, immediate reviews following significant economic or policy events, monthly asset allocation reviews, and manages accounts on a discretionary basis under a limited trading authority.
Notable features include a long operating history and the firm’s reported management of virtually all client assets on a discretionary basis, along with a practice of investing its own assets in many of the same no‑load, no‑transaction‑fee mutual funds it recommends. The firm suggests use of Charles Schwab as custodian, states it receives no compensation from Schwab, and does not accept authority to vote client securities.
Client services
Expertise
Fee options
$0 - $100,000: 0.375% annually $100,000+: 0.250% annually
Account minimum: $100,000
Main office
Nevada City CA
Advisors at this office
1
Most active in
California
Also doing business as
Financial Strategies · Rudd, Fred Lynn
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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