Spencer Hawkins Investment Adviser, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Spencer Hawkins Investment Adviser, LLC is a small advisory practice managing roughly $3.16 million for about 15 clients, focusing on individuals, families, business owners, and employer-sponsored retirement plans. The firm offers comprehensive financial planning, ongoing investment management, retirement-plan consulting (including fiduciary due diligence), and insurance analysis and placement when clients consent.
The firm presents written investment policy statements and tailors asset allocation to client objectives, using a mix of fundamental, technical, and cyclical analysis while generally favoring passive, cost- and tax-aware strategies. Although it can manage accounts on a discretionary basis, the firm’s regulatory filings indicate the bulk of assets are managed non-discretionarily and trades typically require client approval under those arrangements.
Notable differences from many peers include an affiliated insurance agency: the adviser is a licensed insurance agent and may offer insurance products for additional commission with client consent, a relationship the brochure discloses and documents to address conflicts of interest. The firm also documents retirement-plan services (including potential 3(21) or 3(38) roles, participant education, and vendor research) and states it may, when appropriate, employ more active tools such as margin, short positions, and options in client portfolios.
Client services
Expertise
Occupation focus
Fee options
Financial planning flat initial fee typically $1,800; bespoke projects may have flat fees
$0 - $2,000,000: 1.00% >$2,000,000 - $4,000,000: 0.875% >$4,000,000 - $8,000,000: 0.75% >$8,000,000 - $16,000,000: 0.625% >$16,000,000 - $32,000,000: 0.50% >$32,000,000+: 0.375%
Commissions may be earned from insurance products sold by the adviser representative in their capacity as insurance agent
Financial planning hourly rates typically $60 per hour, range $60 to $1,000 per hour for bespoke projects
Account minimum: $5,000 Minimum fee: Financial Planning: Initial flat fee typically $1,800; Annual recurring fee typically $240 or $60 per labor hour, whichever is greater Fee-only: Financial planning flat fees and hourly fees; Investment management fees based on AUM tiers; Fees negotiable
Main office
Upper Arlington OH
Advisors at this office
1
Most active in
Ohio
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.
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.
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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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