1st Financial Investment, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$15,411,547
Total clients
105
10% high-net worth
Total advisors
2
of 8 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
53
Average account size
$146,777
About
1st Financial Investment, Inc. provides personalized financial planning and investment management to individuals (including high‑net‑worth clients), pension and profit‑sharing plans, trusts, estates, and small businesses. Services described in the brochure include non‑discretionary portfolio management, written financial plans and consulting, periodic newsletters, and educational seminars and workshops.
The firm uses a tailored investment policy process, typically employing a core‑and‑satellite approach that combines passive index/ETF exposures with actively managed sleeves and option strategies as appropriate. It delivers advice and trade recommendations on a non‑discretionary basis and often implements client programs through outside independent third‑party money managers, while also sponsoring a wrap‑fee program for bundled advisory and transaction services.
Compared with many peers, the firm combines advisory activities with other industry roles: some representatives are registered representatives of broker‑dealers and licensed insurance agents, the business is affiliated with an insurance general agency and a tax‑preparation entity, and certain advisers may be CPAs or affiliated with other advisory firms. The firm’s mix of primarily non‑discretionary AUM, wrap program participation, periodic periodicals and client education offerings, and its broker‑dealer/insurance/accounting affiliations are features highlighted in its brochure and set it apart from many supported small advisory firms.
Client services
Fee options
$0 - $24,999.99: 3% $25,000 - $99,999.99: 2.75% $100,000 - $249,999.99: 2.50% $250,000 - $499,999.99: 2.25% $500,000 - $999,999.99: 2% $1,000,000 - $2,499,999.99: 1.75% $2,500,000 - $4,999,999.99: 1.50% $5,000,000 - $9,999,999.99: 1.25% $10,000,000 - $19,999,999.99: 1% $20,000,000+: Negotiable
$250 per hour for financial planning and consulting services
Fee-only: $250 per hour for financial planning and consulting services
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
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.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
Main office location
1st Financial Investment, Inc.
116 North State Street, 1 St Floor
Clark's Summit PA 18411-1056, United States
Number of offices
4
Forms ADV
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