Estate & Retirement Strategies LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$4,251,804
Total clients
14
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
14
Average account size
$303,700
About
The firm provides comprehensive financial planning and investment management to individual clients, with a stated emphasis on business owners, professionals, and people undergoing life transitions such as divorce, widowhood, or retirement. Services include cash‑flow and retirement planning, insurance and estate‑planning coordination with outside attorneys and CPAs, portfolio management, and periodic educational workshops.
Its approach is to develop tailored financial plans and ongoing account supervision that may be implemented directly or via third‑party investment managers and model portfolios. The firm uses a mix of long‑ and short‑term strategies, coordinates annual balance‑sheet updates with clients, and may include products such as mutual funds, bonds, registered index‑linked annuities (RILAs), and insurance in client programs.
A noteworthy distinction is that the firm is licensed as an insurance agency and accepts commissions and trailing compensation for insurance and annuity sales—an arrangement the brochure identifies as a potential conflict of interest and a relatively uncommon practice among similar independent advisors. The firm operates at a boutique scale (roughly $4.25 million in assets and about 14 clients) and maintains an affiliated education and certification enterprise that produces workshops, publications, and training which clients may be offered.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
Project fees or fixed fees quoted on a project-by-project basis for workshops and speaking engagements.
1.50% annually
Commissions and trailing commissions on insurance products sold; commissions offset fees charged for annuity and insurance product setup and placement.
$297 to $450 per hour for financial planning advisory services; $497 per hour for terminated or transferring clients; $77 to $227 per hour for administrative staff.
Monthly fee for Altruist One program (amount varies; details in Altruist One Terms of Use).
Account minimum: $100,000 Fee-only: Hourly fees ranging from $297 to $450 per hour for financial planning advisory services; $497 per hour for terminated or transferring clients; $77 to $227 per hour for administrative staff services.
Main office location
Estate & Retirement Strategies LLC
2233 W Baseline Rd, Ste 103
Tempe AZ 85283, United States
Number of offices
1
Most active in
Arizona
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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