RLS Financial Group, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$7,496,141
Clients
20
Advisors
1
of 1 employees
About
RLS Financial Group is a small independent advisory firm that provides investment management, financial planning, portfolio design, model-portfolio implementation and hourly consulting to individuals, trusts, business owners and a range of institutional clients including retirement plans, private foundations, public charities and government entities. The firm manages client accounts on both discretionary and non-discretionary bases and offers both active and passive management alongside consulting and investment research services.
The firm’s investment process combines fundamental, technical and behavioral analysis and uses proprietary market indicators and charting to identify market “dislocations” and time entries and exits; active management is used to seek capital preservation and profit retention while passive strategies and model portfolios are also employed. Actively managed accounts are continuously monitored, and the firm requires use of a discount brokerage it selects for active portfolios while accepting discretionary authority subject to client limitations.
RLS is distinctive among peers for its affiliated pension consulting practice and the firm’s actuarial background in designing and administering retirement plans for hundreds of companies, which supports work with pension and profit-sharing plans and other institutional clients. The firm also uses performance‑based fee arrangements for qualified clients and offers annuity and insurance products in connection with advisory services, a combination that the firm discloses and manages for potential conflicts.
Client services
Expertise
Occupation focus
Fee options
0% to 3% per annum (negotiable)
$300 per hour plus expenses
Up to 30% of profits (performance fee) in addition to 0% to 3% AUM fee, payable quarterly with annual adjustment, applicable to clients meeting statutory income/net worth thresholds
Account minimum: $100,000 Fee-only: $300 per hour plus expenses with $900 retainer payable in advance
Main office
Newtown CT
Advisors at this office
1
Most active in
Connecticut
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.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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.
Forms ADV
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