Advisor at McCauley Investment Advisory, LLC
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
McCauley Investment Advisory, LLC
Location
Show Low, AZ
Credentials
Series 63, Series 65
Industry experience
24 years
Thomas Cook is a financial advisor with McCauley Investment Advisory, LLC, holding Series 63 and Series 65 licenses and bringing 24 years of industry experience. He has worked at McCauley Investment Advisory since 2012 and maintains ongoing roles with Highland Advisory Group and Cook Financial Services, Inc. Outside of advisory services, he is involved as a managing partner and insurance agent at Highland Advisory Group and operates an employer benefits business through Cook Financial Services. McCauley Investment Advisory provides discretionary portfolio management and financial planning primarily to individual clients, including high-net-worth individuals, as well as pension and profit-sharing plans. The firm offers tailored investment programs implemented on a discretionary basis and also serves as a limited-scope ERISA 3(21) fiduciary for plan sponsors.
Based on McCauley Investment Advisory, LLC
Based on McCauley Investment Advisory, LLC
$0 - $500,000: 1.00% annually Over $500,000+: 0.50% annually $0 - $250,000: 1.25% annually (Manning & Napier Tier 1) Over $250,000 - $500,000: 1.00% annually (Manning & Napier Tier 1) $500,000 - $2,000,000: 0.85% annually (Manning & Napier Tier 2) Over $2,000,000+: 0.60% annually (Manning & Napier Tier 2) $0 - $3 million: 0.125% annually (Exeter Trust Company) $3 million - $6 million: 0.10% annually (Exeter Trust Company) $6 million - $10 million: 0.08% annually (Exeter Trust Company) Over $10 million+: 0.05% annually (Exeter Trust Company)
Minimum fee: Minimum annual fee of $3,125 for Manning & Napier tier 1 accounts; minimum fee of $400 per year for Exeter Trust Company accounts Fee-only: Financial planning fixed fees negotiable up to $1,200 maximum
Show Low, AZ
Arizona · New Mexico · Texas
McCauley Investment Advisory, LLC
2012 - Present (14 years)
Highland Advisory Group
2008 - Present (18 years)
Cook Financial Services, Inc.
1996 - Present (30 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 65
Show Low, AZ
Arizona Wealth Strategies LLC
Series 63, Series 65
Show Low, AZ
Meixler Investment Management, Ltd.
Series 63, Series 65
Show Low, AZ
McCauley Investment Advisory, LLC
ChFC®, Series 63, Series 65
Pinetop, AZ
Primerica Advisors
Series 63, Series 66
Pinetop, AZ
Schwab Wealth Advisory
Series 63, Series 66
Show Low, AZ
LPL Financial
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