Steve Garrett and Associates, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Clients per advisor
0
Average account size
—
About
Steve Garrett and Associates, Inc. provides investment management and related advisory services to institutional and pooled-vehicle clients, plan sponsors, family-office clients, charitable organizations, and businesses. Services described in the brochure include retirement plan and pension consulting, estate and philanthropic planning, family-office support, litigation support and expert witness work, and the publication of periodic newsletters.
The firm’s investment approach is grounded in Modern Portfolio Theory with an emphasis on asset allocation across cash equivalents, intermediate and long-term bonds, income-producing and growth equities, and special-situation positions; it prepares written Investment Policy Statements and implements portfolios on both discretionary and non-discretionary bases through an LPL custody and brokerage platform. Although the brochure presents the firm as fee-only for advisory and planning services, many consulting and specialized engagements are billed on an hourly or fixed-fee basis, and the firm operates via a broker-dealer platform with principals affiliated as registered representatives.
Distinctive elements in the brochure include a sustained practice in litigation support and expert witness testimony on supervision and suitability matters, a niche service for professional athletes that references biblically-based financial strategies, and free periodic newsletters distributed to clients and prospects. The combination of institutional retirement-plan work, regular expert-witness activity, broker-dealer affiliation with registered-representative activity, and frequent use of hourly/fixed fees differentiates the firm from many investment managers that primarily depend on percentage-of-assets billing.
Client services
Financial planning
Newsletters or periodicals
Expert witness
Expertise
Family Business
Business exit / sale strategy
Retirement plans for business owners (SEP, solo 401k)
Occupation focus
Professional Athlete
Founder/Business Owner
Fee options
Possible fixed-fee arrangements subject to specific client agreement and engagement.
$25,000 - $100,000: 1.25% annually $100,000 - $1,000,000: 1.00% annually $1,000,000+: 0.80% annually
Typically $180 per hour for most consulting services; $360 per hour for testimony or deposition; $90 per hour for travel or staff time.
Account minimum: $25,000 Fee-only: Hourly fees generally $180 per hour; $360 per hour for testimony or deposition; $90 per hour for travel or staff time; fixed fees also possible in certain engagements.
Main office location
Steve Garrett and Associates, Inc.
449 West Foothill Blvd, Suite 216
Glendora CA 91741, United States
Number of offices
1
Most active in
Steve Garrett and Associates, Inc. has reported serving >5 clients in these states in the last 12 months.
California
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:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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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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