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Client Benefits
The Benefits of working with a
Registered Investment Advisor (RIA)
George Ellis
Abundance Advisors, Inc.
- We are a fee-based Registered Investment Advisory firm (RIA). Our objective is to help you achieve your goals.
What Our Clients Want
- A relationship with a financial professional who they know will work towards the same goals
- Makes investment decisions with their best interests in mind
- Understands their specific financial situation
- Offers straightforward advice that reflects their long-term goals
- Recommends investment solutions that best fit their unique needs
- Uses a fee-based structure that encourages unbiased advice
What We As RIA's Deliver
An independent relationship for the long-term, your objectives are our objectives:
- As an RIA, it is our fiduciary duty to act in your best interest – we are legally bound to put our clients’ interests first.
- We will take time to understand you and your specific financial situation
- We will strive to ensure your needs are being met through a personal relationship and committed pursuit of your investment goals.
- We will make portfolio recommendations consistent with your objectives.
- Our compensation for asset management services is aligned with your goals.
- We charge for our services based on a percentage of your assets managed – so it’s important to us that your investments continue to grow.
- We are required to disclose how we are compensated – so you can give consent on financial products where a commission may be involved.
The Profile of an RIA
| Primary Function | Investment Advice |
| Compensation | Typically charges a percentage of assets under management fee |
| Responsibility to Client | Fiduciary – RIA’s are legally bound to serve the best interests of their clients. |
| Regulation | RIA’s are either overseen by the Securities and Exchange Commission (SEC) or by state regulatory agencies. |
The Profile of a Registered Representative
| Primary Function | Facilitate securities purchase and sale transactions for their clients |
| Compensation | Usually commission-based |
| Responsibility to Client | Ensure investment recommendations are suitable for the client and provide best execution of client orders |
| Regulation | FINRA (the Financial Industry Regulatory Authority) along with the SEC and state regulatory agencies |
[Broker-dealers are primarily in the business of buying and selling securities for their clients]
George N. Ellis, Financial Coach
Abundance Advisors, Inc.
Registered Investment Advisor
60 Highway, 157 South
PO Box 242
Edwardsville IL 62025
Phone: (618) 920-8557
Toll Free: (800) 735-1920
Fax: (618) 633-2346
Email: abundanceadvisorsinc@gmail.com