Locke Asset Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$69,325,969
Clients
49
45% high-net worth
Advisors
1
of 3 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
49
TypicalAverage account size
$1,414,816
About
Locke Advisory Services works with individuals, trusts and small business owners to provide discretionary investment management alongside personal financial planning and tax planning and preparation. The firm offers these services both as stand‑alone engagements and as integrated advice intended to coordinate investments, tax considerations and cash‑flow planning.
The firm asks clients to establish a written investment policy statement that reflects goals, time horizon, cash‑flow needs, tax attributes and risk tolerance, and implements diversified portfolios composed primarily of stocks, mutual funds and ETFs. Investment selection incorporates both fundamental and technical analysis, clients are grouped by risk profile, and accounts are reviewed at least quarterly with transitions to target allocations implemented over time as appropriate.
Distinctive elements include the founder’s professional credentials in accounting and financial planning and prior public‑company financial executive experience, which the firm says it uses to integrate tax, accounting and investment advice. The adviser manages the firm’s discretionary assets for a limited number of clients, and the practice offers targeted billing accommodations for certain client groups, a young‑investor program, and a recurring credit that may be applied toward planning and tax services.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Tax strategies for small businesses
College savings (529s, UTMA, etc.)
Occupation focus
Founder/Business Owner
Fee options
$0 - $500,000: 1.00% annually $500,001 - $1,000,000: 0.90% annually $1,000,001 - $3,000,000: 0.70% annually $3,000,001 - $5,000,000: 0.50% annually $5,000,001+: 0.40% annually
$240 per hour for personal financial planning and tax services
Account minimum: $750 quarterly for clients age 30 or older; $400 quarterly for clients under age 30 Minimum fee: Minimum quarterly investment advisory fee of $750 for clients age 30 or older; $400 for clients under age 30 Fee-only: Fee-only advisor; receives no commissions, bonuses or fees related to insurance or securities transactions
Main office location
Locke Asset Management
Ashburn VA, United States
Number of offices
2
Most active in
Locke Asset Management has reported serving >5 clients in these states in the last 12 months.
Virginia
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
Quick links
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