Investment Advisor Associates, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides fee-only investment management and financial planning primarily to individual clients, including high‑net‑worth households, managing roughly $37 million for about 70 clients with two advisers. Services include ongoing discretionary portfolio management, selection of other advisers, and limited‑scope hourly engagements, with fees billed as a percentage of assets under management.
Portfolios are customized through written investment policy statements and the firm uses fundamental and technical analysis and global diversification to pursue client objectives. The adviser may trade discretionarily and employs a wide range of strategies — including long‑ and short‑term positions, margin, short sales, and option writing — noting that some strategies can involve frequent trading and higher transaction costs.
Noteworthy among peers is the firm’s use of leveraged and derivatives strategies (including uncovered options and short sales) and its practice of selecting other managers and accommodating directed brokerage or solicitor referral arrangements, which is less common for a small, two‑adviser, fee‑only firm serving individuals. A principal‑owner has an extended history operating prior advisory and broker‑dealer entities, holds multiple securities and insurance licenses and occasional expert‑witness engagements, and one supervised person discloses a bankruptcy discharged in 2020 — disclosures prospective clients can review in the brochure.
Client services
Expertise
Fee options
Fixed fees offered (not including subscription fees); one-time setup fee may apply
$0 - $500,000: 2.0% per year $500,001 - $1,000,000: 1.5% per year $1,000,001+: 1.0% per year and above
Hourly charges available for limited scope advice
Account minimum: $300,000 Fee-only: Fee-only investment management, no commissions
Main office
See office311 Miller Avenue, Suite A 4
Mill Valley CA 94941-2844
Advisors at this office
1
Offices (2)
Most active in
California
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
Advisors at this firm
Paul S
Series 63, Series 66
Mill Valley, CA
Investment Advisor Associates, Inc.
Paul Stenard is a financial advisor with Investment Advisor Associates, Inc. in Mill Valley, CA, holding Series 63 and Series 66 credentials and bringing 48 years of industry experience. His career includes positions at Bank of America, Merrill, RBC Capital Markets, and Morgan Stanley. Investment Advisor Associates, Inc. provides fee-only investment management and financial planning primarily to individual clients, including high-net-worth households. The firm customizes portfolios using written investment policy statements and employs both fundamental and technical analysis alongside global diversification, utilizing a variety of strategies such as discretionary trading, margin, short sales, and option writing.
Alan S
ChFC®, Series 63
Boston, MA
Investment Advisor Associates, Inc.
Alan Shorr is a financial advisor at Investment Advisor Associates, Inc. in Boston, MA, holding the ChFC® and Series 63 designations with 44 years of industry experience. His prior work includes positions at Independent Financial Group, AFA Advisor Services LLC, and Sentra Securities Corporation. Outside of his advisory role, he is involved as a 20% owner of 253 Organic LLC and serves as CEO of Almar Productions Inc., which produces live theater globally. Investment Advisor Associates, Inc. provides fee-only investment management and financial planning primarily to individual and high-net-worth clients. The firm manages approximately $37 million across about 70 clients, employing customized portfolios that utilize fundamental and technical analysis, global diversification, and a range of trading strategies including derivatives and leverage.
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