Hoffman Investment Services, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$40,500,000
Clients
37
84% high-net worth
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
37
HighAverage account size
$1,094,595
About
Hoffman Investment Services, LLC is an independent, single-advisor registered investment adviser that provides discretionary portfolio management and financial planning primarily for individual and high-net-worth clients, and also serves corporate clients and retirement plans. Services described in the brochure include investment management, retirement and estate planning, tax and insurance reviews, and coordination with outside professionals when specialized services are needed.
The firm emphasizes technical analysis as its primary method of security evaluation and offers two model portfolio approaches—a capital appreciation strategy and a more moderate strategy—while operating under discretionary trading authority. Investment approaches may include long- and short-term holdings, option strategies (including covered, uncovered and spreads), and exposure to leveraged or inverse exchange-traded products, and fees are assessed as a percentage of assets under management.
Distinctive features include the provision of limited-scope ERISA 3(21) fiduciary services to retirement plans, with assistance on investment policy statements, selection of plan investment options, and participant education—capabilities not commonly offered by many small independent advisers. Oversight and account reviews are performed by the firm’s sole owner and compliance officer, and the firm generally leaves proxy voting to clients unless voting assistance is requested.
Client services
Portfolio management
Pension consulting
Expertise
Active portfolio management
Options & derivatives strategies
Cash flow / budgeting
Fee options
$0+: 1.00% annually (Capital Appreciation Portfolio) $0+: 0.60% annually (Moderate Portfolio) $0+: Up to 1.00% annually (ERISA Plan Services)
Account minimum: $100,000 Fee-only: Fees based on assets under management only; no commissions received.
Main office location
Hoffman Investment Services, LLC
Marblehead OH, United States
Number of offices
1
Most active in
Hoffman Investment Services, LLC has reported serving >5 clients in these states in the last 12 months.
Ohio
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.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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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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