Shawn Loddy
Advisor at SML Advisory
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
SML Advisory
Location
Rio Rancho, NM
Credentials
Series 63, Series 65
Industry experience
25 years
About
Shawn Loddy is the sole advisor at SML Advisory in Rio Rancho, New Mexico, holding Series 63 and Series 65 licenses with 25 years of industry experience. He has operated SML Advisory since 2015 and concurrently maintains a life and health insurance practice as a sole proprietor since 2002. Outside of financial advising, Loddy works part-time as a technician for Breakout AV. SML Advisory provides comprehensive investment management services to individuals, high-net-worth clients, business entities, and retirement plans. The firm employs fundamental, technical, and cyclical analysis in its investment process and offers both discretionary and non-discretionary portfolio management, including ERISA plan services and qualified plan consulting.
Client services
Based on SML Advisory
Portfolio management
Educational seminars or workshops
Erisa/qualified plans
Fee options
$0 - $1,000,000: 2.00% annually $1,000,001 - $5,000,000: 1.75% annually $5,000,001 - $10,000,000: 1.50% annually Over $10,000,000+: 1.00% annually
$195 per hour for qualified plan consulting services
20% of portfolio performance above an 8% annual hurdle, charged quarterly, with a high-water mark
Fee-only: Qualified plan consulting services at $195 per hour
Location
Rio Rancho, NM
Most active in
Shawn L has reported serving >5 clients in these states in the last 12 months.
California · New Mexico
Work history
SML Advisory
2015 - Present (11 years)
Sole Proprietor - Insurance
2002 - Present (24 years)
Breakout AV
2000 - Present (26 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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.
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CERTIFIED FINANCIAL PLANNER™ | Financial Architect for Life’s Key Milestones As a CERTIFIED FINANCIAL PLANNER™ with a rich history in the investment management industry, I specialize in guiding individuals through some of life’s most pivotal transitions. Whether you're navigating the emotional and financial intricacies of estate organization and the loss of a loved one, preparing for a successful and secure retirement through strategic investment and tax planning, or seeking the best higher education opportunities for your children, I offer tailored financial solutions to help you achieve your goals. With over 25 years of experience in business-to-business engagements, I bring a deep understanding of financial strategies, ensuring that my clients are prepared for every phase of life. My background is supported by a strong foundation in finance, having earned my Bachelor’s Degree from Montana State University-Bozeman, as well as completing the rigorous CFP curriculum through the Boston Institute of Finance. I hold several professional licenses that empower me to provide comprehensive, holistic financial guidance. Let’s work together to build a financial plan that not only protects your present but also secures your future.
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David D
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