Auctus Advisors LLC

Auctus Advisors provides discretionary portfolio management along with pension consulting and financial planning to individuals (including high-net-worth clients), pension and profit-sharing plans, charitable organizations, and business entities. The firm documents client goals and constraints in an Investment Policy Statement and manages accounts on an ongoing basis, while also providing non-discretionary plan consulting for participant-directed retirement plans.

The firm uses a goals-based process that combines strategic and tactical portfolio construction, employing Monte Carlo simulations and analyses that include cyclical, fundamental, modern portfolio theory and quantitative methods. Portfolios are primarily constructed using mutual funds and ETFs (with allocations to other vehicles such as closed-end funds or private placements when appropriate); the brochure notes the firm may recommend or incur temporary margin balances in client accounts and may allocate to funds that use options strategies rather than trading options directly.

Auctus Advisors reports over $612 million in discretionary assets under management, giving it a relatively large asset base per adviser compared with many team-category firms. The brochure also discloses operational features that differ from many peers: the firm requires clients to use Schwab Institutional custody and receives related institutional support, and certain principals are licensed insurance agents who may offer commissionable insurance products, a potential source of conflict that the firm discloses.