The Financial Chase LLC

The firm is a small registered investment adviser that offers discretionary investment management and financial planning to individual and business clients, though it currently reports no assets under management and no client accounts. It constructs portfolios primarily with diversified mutual funds and ETFs and charges advisory fees based on a percentage of assets under management, while planning may be provided on an hourly or fixed‑fee basis.

The firm’s investment approach emphasizes fundamental analysis and a generally long‑term orientation, with portfolios built through strategic asset allocation and rebalanced as needed; it may also use individual equities or cash positions for tactical adjustments. Accounts are monitored continuously and managed on a discretionary basis, and client assets are held with third‑party custodians (the firm does not take custody except for authorized fee deductions).

Distinctive features noted in the brochure include the principal’s licensed insurance activities, with insurance implementations handled separately and commissions from insurance sales disclosed as a potential conflict of interest. The combination of offering both percentage‑of‑AUM investment management and standalone hourly/fixed financial planning, together with the firm’s status as a newly established adviser reporting no AUM, are atypical relative to many peers in the investment‑manager category.