Geneos Wealth Management, Inc.

Geneos Wealth Management serves a broad mix of clients — including individuals (both non‑high‑net‑worth and high‑net‑worth), trusts, estates, pension and profit‑sharing plans, corporations, and charitable organizations — through financial planning, investment advisory and brokerage services. Its offerings include comprehensive and modular financial plans, asset management delivered via representative‑managed VIP accounts and two wrap programs (VIP Ultra and Axiom), and referrals to unaffiliated third‑party money managers.

The firm’s investment process combines continuous account monitoring and discretionary trading authority for most client accounts with a range of analytic approaches (charting, fundamental, technical and cyclical) and strategies from long‑term buy‑and‑hold to tactical timing, options and margin where appropriate. Axiom model portfolios are available to allocate client assets to third‑party strategists (Axiom accounts have a stated $5,000 minimum and a $20 quarterly small‑account fee for balances under $50,000), while representatives may customize VIP portfolios and clients may impose written investment restrictions.

Geneos has several features that distinguish it from many large enterprises: its brochure discloses related‑person relationships with law firms, pension consultants and real estate brokers or dealers, and it acts as a promoter to some third‑party managers, receiving a portion of referral fees. The firm also disclosed an SEC administrative proceeding finalized in 2018 concerning mutual fund share‑class selection and revenue sharing, and states it has since rebated affected amounts and revised policies to eliminate receipt of 12b‑1 revenue on advisory and ERISA accounts.