Unity Wealth Strategies
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm serves individual investors, charitable organizations, and corporations, offering discretionary investment management alongside both ongoing and project-based financial planning. It also provides educational seminars and speaking engagements; the advisory brochure reports approximately $8.5 million in assets under management across roughly 93 client relationships and states the firm operates on a fee-only basis.
The firm describes a tailored investment process that begins with client-specific investment policies and asset allocation targets and may use a mix of passive and active strategies informed by fundamental, technical, and cyclical analysis and modern portfolio theory. Portfolios can be customized for socially responsible investing and client-imposed restrictions, and the firm typically monitors accounts on a quarterly basis while providing written financial plans for planning engagements.
A noteworthy element in the brochure is the reference to an “advisory affiliate” in its trading and conflicts discussion, an arrangement that is less common among peers of similar size and is reflected in the firm’s internal policies. The firm also documents fee-based educational seminars (with per-engagement fees disclosed and recently revised) and operates with a small advisory team whose members have external non-investment roles; it discloses that it does not vote client proxies, leaving proxy decisions to clients.
Client services
Expertise
Occupation focus
Fee options
Fixed fee for Project-Based Financial Planning ranges from $50 to $5,000; Fixed fees for seminars range from $0 to $3,000 per engagement
$0 - $999,999: 1.00% $1,000,000 - $2,499,999: 0.90% $2,500,000 - $3,999,999: 0.80% $4,000,000+: 0.70%
$250 per hour for Project-Based Financial Planning
Ongoing Financial Planning fees paid monthly ($50-$1,250) or quarterly ($150-$2,500) in advance
Fee-only: Fixed fees between $50 and $10,000 for Financial Planning; Hourly rate of $250 for Project-Based Financial Planning
Main office
2301 E Pikes Peak Ave
Colorado Springs CO 80910
Advisors at this office
3
Most active in
Colorado · Ohio · Texas
Also doing business as
Phoenix Fiscal Inc · Phoenix Fiscal Inc Dba Unity Wealth Strategies · Unity Wealth Strategies
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.
Forms ADV
Advisors at this firm
Karl H
Series 63, Series 65
Colorado Springs, CO
Unity Wealth Strategies
Karl Hering is a financial advisor at Unity Wealth Strategies in Colorado Springs, CO, holding Series 63 and Series 65 licenses with five years of industry experience. He previously worked at Money Concepts Capital Corp and Summit Financial Group, and has operated Smarter Directions, LLC since 2012. Outside of his advisory role, he is a certified personal trainer with Be Functional, LLC. Unity Wealth Strategies serves individual investors, charitable organizations, and corporations by providing discretionary investment management and financial planning. The firm emphasizes a tailored investment process using a combination of passive and active strategies and offers educational seminars and speaking engagements.
Shari C
Series 65
Colorado Springs, CO
Unity Wealth Strategies
Shari Carlson is a financial advisor at Unity Wealth Strategies in Colorado Springs, CO, with six years of industry experience. She holds a Series 65 designation and has worked at several firms including Creative Financial Services, Inc. and Collaborative Consulting Group LLC. Outside of her advisory role, Carlson works as a trainer at Balancing Life's Issues, serves as a substitute teacher in the Harrison School District 2, and acts as a parent provider community connector for S Carlson Care Provider. Unity Wealth Strategies is a fee-only registered investment adviser that serves individual clients and small organizations through investment management and comprehensive financial planning. The firm employs a combination of passive and active strategies aligned with asset-allocation principles and offers educational seminars and speaking engagements.
Rebecca M
Series 65
Colorado Springs, CO
Unity Wealth Strategies
Rebecca Miller is a financial advisor at Unity Wealth Strategies with 10 years of industry experience. She holds a Series 65 designation and previously worked at Creative Financial Services, Inc. for 11 years. In addition to her advisory role, she works part-time as an Operations & Client Experience Specialist at Hessel Financial Advisors, supporting client correspondence and administrative tasks. Unity Wealth Strategies is a fee-only registered adviser that provides investment management and comprehensive financial planning to individuals and small organizations. The firm uses a combination of passive and active strategies within a discretionary asset-allocation framework and offers educational seminars and speaking engagements.
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