Tax & Investment Advisors
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$97,000,000
Clients
228
7% 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
228
Very HighAverage account size
$425,439
About
Tax & Investment Advisors provides discretionary asset management and financial planning primarily to individual clients, including high‑net‑worth households, overseeing about $97 million across roughly 228 client relationships. Services include portfolio construction and monitoring, tax-aware retirement planning, and both integrated financial planning delivered as part of advisory relationships and standalone hourly planning engagements.
The firm’s investment process references fundamental analysis and Modern Portfolio Theory and may incorporate low‑cost, evidence‑based indexing as part of client strategies. It typically operates with discretionary trading authority and may appoint sub‑advisors to manage all or portions of client accounts, retaining the authority to select and terminate those sub‑advisors.
Distinctive elements disclosed in the brochure include an unusually high client count per advisor (over 200 clients), an affiliated insurance business that sells fixed insurance products and consumes about 15% of the owner’s time (with customary commission compensation), and active involvement in financial education by the firm’s leadership. The firm also documents a five‑step “Retirement Freedom Roadmap” and related written planning materials for clients, reflecting a structured, publication‑oriented approach to client communication and tax‑focused planning.
Client services
Financial planning
Portfolio management
Selection of other advisers
Newsletters or periodicals
Expertise
Retirement income strategy
Income planning
General tax planning
Medicare planning
General estate planning guidance
Fee options
$0 - $999,999: 1.00% annually $1,000,000 - $2,999,999: 0.95% annually $3,000,000+: 0.90% annually
$250 per hour for financial planning services
Main office location
Tax & Investment Advisors
29 Water Street, Suite 302
Newburyport MA 01950, United States
Number of offices
1
Most active in
Tax & Investment Advisors has reported serving >5 clients in these states in the last 12 months.
Massachusetts · New Hampshire
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.
Is not active or affiliated with:
-
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
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