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McFarlane Investment Advisory Services Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$3,654,797
Clients
5
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
5
LowAverage account size
$730,959
About
The firm serves a very small group of individual and high‑net‑worth clients and LLCs, offering discretionary asset management as well as fee‑based financial planning and consulting. Its advisory services commonly extend beyond securities to include advice on insurance products, annuities, bank certificates of deposit and real‑estate analysis.
Investment decisions draw on charting, fundamental, technical and cyclical analysis and employ a range of strategies from long‑term holdings to short‑term trading, margin, short sales and option writing. Cash balances are typically invested in money market funds, short‑term government or high‑grade paper or CDs, and accounts are reviewed at least quarterly under a discretionary asset‑management agreement.
The firm is distinctive among solo independent advisers in maintaining an affiliation with a broker‑dealer and offering commissionable securities sales and an alternate compensation option that can substitute commissions for advisory fees; the brochure discloses that the adviser may receive commissions or trail fees and discusses related conflicts of interest. It is also notable for its very small client base and AUM and for disclosing soft‑dollar research arrangements and a formal Code of Ethics to address potential conflicts arising from its brokerage activities.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Real estate investing
Wealth management
Occupation focus
Retired
Fee options
Flat fees charged for financial planning and consulting services, amount depends on scope
$0 - $7,500,000: 2% $7,500,001 - $22,500,000: 1.5% $22,500,001 - $47,500,000: 1% $47,500,001+: 0.5%
Commission fees apply if client chooses to pay no management fee; commissions are earned by firm representative on securities transactions and sales of insurance products
Hourly consulting rate of $150 per hour for advice regarding securities or other financial assets
Minimum fee: No minimum annual fee Fee-only: Financial planning and consulting fees at $150 per hour or flat fees based on scope and complexity
Main office location
McFarlane Investment Advisory Services Inc.
Monterey CA, United States
Number of offices
1
Most active in
McFarlane Investment Advisory Services Inc. has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
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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