Direction Financial Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$0
Total clients
32
78% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
32
Average account size
$0
About
Direction Financial Management works with individuals, families, trusts, charitable organizations and small businesses, including retirees, professionals and small business owners. The firm provides fee-only financial planning and investment consultation—broad-based or focused advice on cash flow, retirement, tax and estate planning, risk management, asset allocation and investment selection—and does not sell commissioned products.
For investment consulting engagements the firm generally favors a long-term, passive approach grounded in Modern Portfolio Theory, emphasizing diversified index funds and periodic rebalancing, and will assist clients in preparing an investment policy statement when requested. Services are delivered on a project, hourly or fixed-fee basis (including an optional Private Client Annual Service for ongoing planning support) and do not include continuous discretionary portfolio management; clients retain final implementation authority.
Distinctive aspects noted in the brochure include that the firm’s principal is a licensed CPA with CFP®, RICP® and elder-planning credentials and prior tax-specialist experience, which informs a tax-aware and elder-care-sensitive planning focus. The firm also conducts public and group educational workshops (often free of charge), is a member of fee-only planning networks, and does not accept percentage-of-AUM fees or commissions nor maintain direct custody or ongoing asset management for clients.
Client services
Financial planning
Selection of other advisers
Educational seminars or workshops
Expertise
General retirement planning
Cash flow / budgeting
General tax planning
Retirement income strategy
Occupation focus
Executive
Founder/Business Owner
Retired
Demographic focus
Approaching retirement
Retired
Sandwich Generation
Fee options
Fixed fees for financial planning and Private Client Annual Service determined on a case-by-case basis; Private Client Annual Service is an annual fixed fee paid quarterly, semi-annually, or annually
Hourly rate of $360 per hour
Minimum fee: Retainer of one-half the uppermost estimated engagement fee or $1,200, whichever is less, to initiate the project; $1,200 retainer to initiate Private Client Annual Service Fee-only: Hourly financial planning at $360 per hour; Fixed/project fees determined case-by-case based on complexity
Main office location
Direction Financial Management, LLC
W177 N9856 Rivercrest Drive, Suite 214
Germantown WI 53022, United States
Number of offices
1
Most active in
Direction Financial Management, LLC has reported serving >5 clients in these states in the last 12 months.
Wisconsin
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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