Cruse Investments
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$58,394,423
Total clients
85
69% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
85
Average account size
$686,993
About
Cruse Investments provides investment management and written financial planning to individuals, trusts, estates and corporations, and offers advice on retirement rollovers and employer plan distributions. The firm prepares a written financial plan for planning clients and may construct portfolios using individual stocks and bonds, exchange-traded funds, and no-load or load-waived mutual funds.
Portfolios are customized to clients’ objectives and rebalanced as needed, and the adviser may recommend third‑party managers for portions of a client’s assets. The firm operates with non‑discretionary authority for client accounts, requiring client approval before executing transactions, and discloses that it acts as a fiduciary when giving retirement account and rollover advice under ERISA rules.
Compared with peers, the firm reports a predominantly non‑discretionary asset base (approximately $58 million of reportable non‑discretionary AUM) and works with pension or profit‑sharing/retirement plan matters, which is less common among solo independent advisers. The firm also discloses a prior disciplinary event in 2011 in which its principal consented, without admitting or denying the findings, to a FINRA sanction consisting of a 10‑day suspension and a $5,000 fine related to alleged discretionary trades executed without prior written authorization.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Fee options
Less than $500,000 - $500,000: 1.00% $500,000 - $1,000,000: 0.95% $1,000,001 - $2,000,000: 0.75% $2,000,001 - $3,000,000: 0.50%
$150 per hour for financial planning services
Main office location
Cruse Investments
Petaluma CA, United States
Number of offices
1
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
Quick links
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