Investments By Design, Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$45,547,816
Clients
75
Advisors
1
of 1 employees
About
Investments By Design provides ongoing discretionary portfolio management and financial planning to a client base that includes individuals, high‑net‑worth individuals, and some corporate or business entities. The firm prepares individualized Investment Policy Statements and offers a range of planning services — retirement, tax, estate, insurance, and education planning — delivered through comprehensive plans and a la carte hourly engagements.
The firm’s investment approach draws on multiple methods of analysis (fundamental, technical, charting, and cyclical) and employs a mix of strategies including long‑ and short‑term trading, short sales, margin, and options writing alongside allocations to mutual funds, equities, bonds, ETFs, REITs, and insurance products. Accounts are reviewed on a regular schedule and managed to match each client’s documented goals, time horizon, and risk tolerance as set out in the client’s Investment Policy Statement.
Notably, the firm’s principal is a licensed insurance agent and the brochure discloses the sale of commissionable insurance products, which the firm identifies as a potential conflict of interest that it will disclose to clients. It also serves corporate/business clients (an uncommon client type for similar independent advisers) and uses higher‑risk trading techniques such as short sales, margin, and options writing, which may distinguish its tactical flexibility from many small advisory peers.
Client services
Expertise
Fee options
Fixed fees for individual financial planning services: Investment Planning $255, Retirement Planning $255, Insurance Planning $170, Estate Planning $255, Tax Planning $170, Education Planning $170
1.25% annually
Hourly fees starting at $85 per hour; specific financial planning services range from $170 to $255
Fee-only: Hourly fees between $85 and $255 depending on service; specific financial planning services offered at $170 or $255 each
Main office
612 Spring Street
Galena IL 61036
Advisors at this office
1
Most active in
Illinois · Texas · Wisconsin
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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