Spectrum Strategies, L.L.C.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$0
Clients
119
Advisors
4
across 2 offices
About
Spectrum Strategies serves primarily individual clients through comprehensive financial planning and consulting engagements. Its written plans typically address retirement and accumulation, educational funding, risk management, estate and tax analyses, and, where appropriate, asset protection and business succession; the firm also provides annual plan reviews and works with ERISA- and IRA-governed accounts (while not serving as the plan fiduciary).
The firm provides non-discretionary, general investment advice and does not manage client assets or take custody; clients or their designated managers implement recommendations. Spectrum operates on engagement-specific planning and consulting fees rather than charging percentage-of-assets-under-management, and it may coordinate with third-party managers for implementation.
Notably, Spectrum is affiliated with a broker-dealer and its advisors are also registered representatives and insurance agents, which means representatives may implement plan recommendations through broker-dealer channels, receive commissions, and participate in referral fee arrangements (including an undisclosed/unwritten referral-fee practice described in the brochure); the firm discloses these potential conflicts to clients. Advisors at the firm are long-tenured CFP practitioners who also participate in related outside businesses (a separate wealth-services entity, some real-estate activity, and pro-bono military financial guidance), activities the firm identifies as separate from its advisory services.
Client services
Expertise
Occupation focus
Fee options
Fixed fee arrangements available for consulting projects based on scope and nature of project.
Commission-based compensation is received separately from financial product sales through LPL and insurance commissions.
Consulting fees charged hourly at $150-$200 per hour for financial planners and $60-$80 per hour for staff.
Minimum fee: Initial financial plan fees begin at $1,000; subsequent annual plan reviews are at least $1,000. Fee-only: Fees based on financial planning or consulting services; initial plan fees start at $1,000, subsequent review fees are generally 50% or less of original plan cost, minimum $1,000; consulting fees charged hourly ($150-$200 per hour for planners, $60-$80 per hour for staff) or fixed fee arrangements.
Main office
See office14180 Dallas Parkway Suite 425
Dallas TX 75254-4341
Advisors at this office
2
Offices (2)
Most active in
Texas
Also doing business as
Same As Item 1.A · Spectrum Strategies, L.L.C. · Spectrum Strategies, LLC
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:
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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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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
Advisors at this firm
Jaime G
CFP®, Series 63
Dallas, TX
Spectrum Strategies, L.L.C.
Jaime Galvan is a CFP®-certified financial advisor with 29 years of industry experience. He has been with Spectrum Strategies, L.L.C. since 1999 and also worked with MML Investor Services, LLC and Massachusetts Mutual Life Insurance Co. during the same period. He provides pro-bono financial guidance to military personnel and their families. Spectrum Strategies primarily serves individual clients through comprehensive financial planning and consulting, focusing on retirement, education funding, risk management, estate and tax analysis, and business succession. The firm offers non-discretionary investment advice without managing client assets, operating on engagement-specific fees and coordinating with third-party managers for implementation.
Landon V
Series 66
Dallas, TX
Spectrum Strategies, L.L.C.
Landon Vaughan is a financial advisor with Spectrum Strategies, L.L.C. in Dallas, TX, holding a Series 66 credential and 12 years of industry experience. He has previously worked at LPL Financial LLC, MML Investors Services LLC, and MassMutual Life Insurance Co. Vaughan is a managing partner of Spectrum Wealth Strategies, LLC, where he is involved in operational decisions. Spectrum Strategies primarily serves individual clients through comprehensive financial planning and consulting engagements, focusing on retirement, education funding, risk management, estate and tax analyses, and business succession. The firm provides non-discretionary investment advice without managing client assets and operates on engagement-specific fees, coordinating with third-party managers for implementation.
William G
CFP®, Series 63
Dallas, TX
Spectrum Strategies, L.L.C.
William Geiler III is a CFP® professional with 24 years of industry experience, currently serving as an investment advisor representative at Spectrum Strategies, L.L.C. in Dallas, TX. He has worked at LPL Financial LLC, MML Investors Services LLC, and MassMutual Life Insurance Co. He is also involved in insurance services, helping clients obtain life, disability, long-term care, fixed annuities, and health insurance policies. Spectrum Strategies provides comprehensive financial planning and consulting primarily to individual clients. The firm offers written plans addressing retirement, education funding, risk management, estate and tax analyses, and business succession, delivering non-discretionary investment advice without managing client assets.
Truman B
CFP®, Series 63, Series 66
Dallas, TX
Spectrum Strategies, L.L.C.
Truman Blocker IV is a CFP® professional with 32 years of industry experience, currently a partner at Spectrum Strategies, L.L.C. in Dallas, TX, where he has worked for over two decades. He previously worked at Mass Mutual Investors Services and Massachusetts Mutual Life Insurance Company. Outside of his advisory role, he serves as a presenter for Sandler Training and coaches soccer seasonally at Trinity Christian Academy. Spectrum Strategies primarily serves individual clients through comprehensive financial planning and consulting, focusing on retirement, education funding, risk management, estate and tax analysis, and business succession. The firm provides non-discretionary investment advice and operates on engagement-specific fees without managing client assets directly.
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