I
Investment Initiatives, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$25,959,917
Total clients
24
33% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
24
Average account size
$1,081,663
About
Investment Initiatives, LLC provides fee-only advisory services to individuals and high-net-worth clients as well as a range of institutional and nonprofit clients, including banks and thrift institutions, credit unions, private foundations, charitable organizations, and pension or profit-sharing plans. Its services include ongoing portfolio management, pension consulting (including for 401(k) plans), and financial planning tailored to each client’s goals and circumstances.
The firm develops written Investment Policy Statements and offers both discretionary and non-discretionary management, constructing portfolios using exchange-traded funds, equities, bonds, certificates of deposit, mutual funds and other securities. Its investment process combines fundamental, technical, charting and cyclical analysis and may employ options and margin transactions as part of its strategies, with client risk tolerances documented and reviewed regularly.
Compared with many independent advisers, Initiatives’ client mix notably includes banking institutions, charitable organizations and pension plans and it provides ongoing pension consulting rather than only individual wealth management. The firm manages client assets internally rather than selecting third-party advisers, and its combination of in-house pension work with active trading tools (options and margin) and technical analysis distinguishes its approach from many peers.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Options & derivatives strategies
Active portfolio management
Fee options
$0 - $100,000: 2.50% $100,001 - $250,000: 2.00% $250,001 - $500,000: 1.25% $500,001 - $750,000: 0.75% $750,001 - $1,000,000: 0.60% $1,000,001 - $1,500,000: 0.50% $1,500,001 - $2,000,000: 0.50% $2,000,001+: 0.45%
Account minimum: $250,000 (minimum for Pension Consulting; may be waived at discretion) Fee-only: Fee-only basis; no commissions or sales charges accepted.
Main office location
Investment Initiatives, LLC
Alexandria VA, United States
Number of offices
1
Most active in
Investment Initiatives, LLC has reported serving >5 clients in these states in the last 12 months.
Michigan · Ohio · Virginia
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
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 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
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