Soaring Investment Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$1,544,551
This total excludes 3 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
32
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
32
Average account size
$48,267
About
Soaring Investment Management, LLC provides discretionary asset management, comprehensive financial planning (one-time plans and ongoing consulting), and ERISA retirement-plan services to individual investors and plan sponsors. The firm’s client base includes both individual clients and pension/profit-sharing plans, and it states it works with corporate or business clients in addition to individuals.
Investment programs are built around client-specific investment policy statements and fundamental analysis, with a long-term purchase orientation, portfolio monitoring, periodic rebalancing, and quarterly reviews that consider tax-loss harvesting opportunities. Financial planning services range from a delivered full financial plan to ongoing monthly consulting and participant education for retirement-plan participants.
Noteworthy differences from many peers include the firm’s explicit ERISA offerings — it can act as either a limited-scope 3(21) advisor or a discretionary 3(38) investment manager for qualified plans — and disclosure of a prior regulatory consent order (March 2019) resolving unregistered advisory activity with a $2,500 penalty. The brochure also notes custodial fees such as margin interest, the firm’s proprietary trading account and personal-trading oversight, and the firm’s discretion in trading and account aggregation, features that prospective clients may want to review relative to their needs.
Client services
Financial planning
Portfolio management
Pension consulting
Occupation focus
Founder/Business Owner
Fee options
Financial consulting fees $50 per month with maximum of $600 annually; one-time setup fee $250
$0 - $500,000: 1.50% annually $500,000.01 - $1,000,000: 1.20% annually $1,000,000.01 - $5,000,000: 1.00% annually $5,000,000.01 - $10,000,000: 0.90% annually $10,000,000.01+: 0.80% annually
$250 per hour for financial planning services
Financial consulting fees $50 per month with maximum of $600 annually
Account minimum: $500,000 Fee-only: Financial planning services at $250/hour; Financial consulting at $50/month (max $600 annually) plus $250 one-time setup fee
Main office location
Soaring Investment Management, LLC
Sioux Falls SD, United States
Number of offices
1
Most active in
Soaring Investment Management, LLC has reported serving >5 clients in these states in the last 12 months.
South Dakota
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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