Financial Connection, Inc
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$89,915
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
3
Very LowAverage account size
—
About
Financial Connection, Inc. provides discretionary portfolio management and advisory services to individuals, trusts, retirement plans and business entities. The firm also offers financial planning and consultative services where no ongoing management is provided.
Investment management is tailored to each client through an Investment Policy Statement and clients may impose restrictions; accounts are reviewed at least quarterly and more frequently for volatile holdings. The firm uses multiple analytical methods—charting, fundamental, technical and cyclical—and implements a range of strategies including long- and short-term purchases, trading, short sales and margin.
The firm combines advisory services with life and health insurance brokerage and employee benefit plan consulting, and it serves corporate/institutional clients such as retirement plans—activities that are less common among solo independent advisers. The firm does not take custody of client assets, does not accept compensation for selling securities, and also provides securities arbitration and litigation consulting within the firm.
Client services
Financial planning
Portfolio management
Expertise
Active portfolio management
Fee options
Negotiated flat fee for consultative services
$0 - $100,000: 1.50% annually (Growth Accounts) $100,001 - $500,000: 1.00% annually (Growth Accounts) $500,001 - $3,000,000: 0.75% annually (Growth Accounts) $3,000,001+: 0.65% annually (Growth Accounts) $0 - $100,000: 0.65% annually (Income Accounts) $100,001 - $500,000: 0.50% annually (Income Accounts) $500,001 - $3,000,000: 0.35% annually (Income Accounts) $3,000,001+: 0.25% annually (Income Accounts)
Up to $400 per hour, or a negotiated flat fee
Minimum fee: Minimum quarterly fee of $250
Main office location
Financial Connection, Inc
7000 W Palmetto Park Rd, Suite 210
Boca Raton FL 33433, United States
Number of offices
1
Most active in
Financial Connection, Inc has reported serving >5 clients in these states in the last 12 months.
Florida
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
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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