Insurance & Wealth Advisors, LLC.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides investment advisory and insurance-related services to individual clients and manages a relatively small asset base (about $2 million for roughly ten clients). It offers portfolio management for individuals and charges advisory fees based on a percentage of assets, a common practice among independent advisers.
The firm typically handles client accounts on a primarily non-discretionary basis, meaning clients retain decision authority while the adviser implements and supports investment recommendations. In addition to advisory fees, the adviser is separately licensed to place health insurance products and may receive commissions for those sales; the brochure discloses this potential conflict and notes clients are not required to purchase insurance through the firm.
A distinguishing feature is the firm’s active insurance-sales role and affiliation with an insurance intermediary, a combination that is relatively uncommon among independent advisory firms. The adviser’s long history of industry roles dating back to the early 2000s and responsibility for the firm’s advisory activities may be particularly relevant given the firm’s small client roster and the mixed advisory-and-commission compensation structure.
Client services
Fee options
Commissions earned for insurance-related activities separate from advisory fees
Main office
Coolidge AZ
Advisors at this office
1
Most active in
Arizona
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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