Hicks & Associates Wealth Management, LLC

Hicks & Associates Wealth Management primarily serves individual and high net worth clients, including trusts, estates, individual retirement accounts, and 401(k) plans, providing discretionary portfolio management through separately managed accounts and, when requested, non-discretionary financial planning and consulting. The firm charges fees as a percentage of assets under management and does not sponsor wrap fee programs.

The firm describes a Multi-Strategy Investment Management Process that combines fundamental and technical analysis with a bias toward technical methods; its playbook includes buy-and-hold (conditioned on trend), quantitative, trend-following, tactical, and discretionary strategies overseen by an Investment Committee. Risk controls cited in the brochure include the use of rules-based stops, regular position reviews (no less than weekly), and quarterly account reviews, with accounts managed on a discretionary basis unless clients impose written restrictions.

Noteworthy operational features disclosed in the brochure include the use of a third‑party platform to manage held-away defined contribution participant accounts with discretion, block-trade aggregation via a master account with pro rata allocations, and formal referral arrangements that compensate introducers on a flat-fee basis. The firm also documents its custodial and support relationship with a major custodian that provides software, trade execution access, and practice-management services — arrangements the brochure identifies as both a benefit to the firm and a potential conflict of interest that the firm monitors.