Who is my Registered Investment Advisor (RIA)?

AE Wealth Management (AEWM) is an SEC Registered Investment Advisor. AEWM provides back office support for our firm so we can spend more time working with you. With over $19.6 billion in assets under management*, AEWM is not a publicly traded company. Instead, AEWM exclusively serves independent financial advisors like us. They have the resources and institutional size which allows us to offer services to clients, a small firm like ours would not otherwise have access to.

* As of February 17, 2022.

Who is my Investment Adviser Representative (IAR)?

Investment adviser representative: A registered person who makes recommendations or otherwise renders advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, and provides investment advisory services, or supervises individuals who perform any of the foregoing on behalf of a registered investment adviser.

Who is my Model Manager?

Many financial advisors outsource portfolio management to other firms. FEFA Asset Management creates all portfolios and client models in house, and therefore FEFA Asset Management is your model manager.

Who is my Product Sponsor?

Depending on the positioning of your assets, your portfolio may consist of ETF's or other securities managed or constructed by third party firms. We use these securities to provide our clients access to low-cost and liquid diversification options within various asset classes.