The Innes Associates, Ltd.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$2,500,000
Clients
15
Advisors
1
of 1 employees
About
The Innes Associates, Ltd provides discretionary investment management and pension and trust accounting services to individuals, trusts, estates, charitable organizations, pension plans, corporations, and municipal government entities in the State of Arizona. The firm uses custodial accounts at Charles Schwab and funds its model portfolios primarily with mutual funds, employing ETFs only when deemed appropriate.
The firm’s investment process emphasizes modern portfolio theory and determined asset allocation across four model portfolios (Defensive Balanced, Conservative Balanced, Balanced, and Equity), and uses charting plus fundamental and technical analysis to inform decisions. Clients complete a risk assessment and investment policy statement before account opening, and accounts are monitored with regular reviews (at least quarterly) and rebalancing as needed.
What is distinctive is the combination of a small, state-registered advisory practice (disclosed assets under management of roughly $13 million) with pension consulting and retirement-plan trust accounting responsibilities, including preparation of trust balance sheets, participant distributions, and tax forms. The adviser may also act as the investment adviser to those retirement plans and provides services specifically to municipal government entities in Arizona, services that are less common among independent solo advisers.
Client services
Expertise
Fee options
$0 - $500,000: 1.5% $500,001 - $1,000,000: 1.25% $1,000,001 - $2,000,000: 1.00% $2,000,001+: Negotiable
$115.00 per hour for Pension and Trust Accounting Services
Account minimum: $100,000 minimum to open and maintain an advisory account; $50,000 minimum for additional accounts; no minimum for retirement plans (may be waived by firm principal)
Main office
60 E. Rio Salado Pkwy, Suite 900
Tempe AZ 85281
Advisors at this office
1
Most active in
Arizona · Idaho · Utah
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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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.
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