Aries Investments, LLC

Aries Investments provides financial planning, portfolio management, retirement plan advisory and pension consulting to individuals, trusts, estates and other business entities, and operates through custodial accounts primarily established at Charles Schwab. The firm offers both discretionary and non-discretionary management and markets a rules-based “10-5” ETF strategy that uses sell and buy stop orders to shift positions to money market funds after a 10% index decline and to re-establish ETF exposure after a 5% rebound.

Portfolios are constructed mainly with exchange-traded funds and mutual funds and are tailored to clients’ time horizon, liquidity needs, tax considerations and risk tolerance; Aries describes an investment process that includes risk profiling, regular monitoring and periodic placement of holdings into buy/watch/sell categories. The firm documents due diligence via an investment committee that screens funds using metrics such as expense ratio, manager tenure, performance vs. benchmark, beta and Sharpe ratio, and it relies on Charles Schwab’s institutional custody and trading capabilities to implement stop-order based tactics.

Although organized as a single-advisor independent firm and filing its initial Form ADV in 2025, Aries reports a client mix that includes several institutional and non-retail types that are uncommon for similarly sized independent advisers — for example, sovereign wealth funds, banking or thrift institutions, state and municipal governments, insurance companies, other investment advisers, charitable organizations, corporate entities and pension or profit-sharing plans. The firm also emphasizes written financial planning deliverables, a formal code of ethics and the operational reliance on Schwab Advisor Services to support execution and custodial needs.