McFarlane Investment Advisory Services Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
Occupation focus
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
Monterey CA
Advisors at this office
1
Most active in
California
Also doing business as
Mcfarlane Investment Advisory Serv.Inc · Mcfarlane Investment Advisory Services Inc.
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.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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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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