Locke Asset Management
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Locke Asset Management serves individuals, trusts and small businesses, working with both high-net-worth and non-high-net-worth clients to provide discretionary portfolio management alongside personal financial planning and tax preparation services. The firm operates as a fee-only registered investment adviser and emphasizes building written investment policy statements tailored to each client.
The firm manages its clients’ assets using diversified portfolios of stocks, mutual funds and ETFs and applies both fundamental and technical analysis when selecting individual securities. Clients are grouped into one of five risk profiles, receive at least quarterly portfolio reviews, and portfolio transitions are often phased over multiple quarters to address market and tax considerations.
Distinctive features include its solo-practitioner structure—run by a single owner/advisor with CPA/PFS and CFP credentials and prior CFO-level experience—which supports deeper integration of tax and planning into investment decisions. The firm also offers tax preparation and planning for individuals and small businesses as part of its service mix, uses a preferred custodian platform that provides research and operational efficiencies, and leaves proxy voting with clients rather than voting on their behalf.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
$0 - $500,000: 1.00% $500,001 - $1,000,000: 0.90% $1,000,001 - $3,000,000: 0.70% $3,000,001 - $5,000,000: 0.50% $5,000,001+: 0.40%
Personal financial planning and tax services generally billed at $250/hour
Minimum fee: Minimum quarterly fee of $750 for clients age 30 or older; minimum quarterly fee of $400 for clients under age 30 Fee-only: Investment advisory fee is the only compensation for investment advisory services; no commissions or bonuses received
Main office
Great Falls VA
Advisors at this office
1
Most active in
Virginia
Also doing business as
Locke Advisory Services LLC · Locke Asset Management
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.
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