Chris Mickel

Tustin, California, 92780
Phone: 888.488.2536
Website: www.valeofinancial.com
Credentials: CFP®
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Registry Member Since 2004
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Business Philosophy

At Valeo, we use our EXTENSIVE EXPERIENCE and CONSERVATIVE CREATIVITY to help our clients achieve their financial goals. We are FEE-ONLY, thus we sell no products. We are COMPREHENSIVE, focusing on all aspects of a client's financial affairs (cash flow, investments, insurance, tax, estate, education, debt, etc). We are REASONABLY PRICED and post our fee schedule right on our website (www.valeofinancial.com). We LIMIT the number of clients each of our advisors work with to less than 50 to ensure the highest possible level of service.

My Minimum Asset Requirements: $500,000

Types of Clients:
  • Individuals
  • High Net Worth Individuals
  • Ultra High Net Individuals
  • Endowments
  • Foundations
  • Companies (Non-Pension)
Types of Services:
  • Financial Planning Advice & Services
  • Investment Advice & Services
  • Insurance Advice & Services
  • Tax Advice & Services
Assets Under Management:
  • $
Number of Clients:
  • 38
1. What are your firm names?
  • Registered Investment Advisor

    Valeo Financial Advisors, LLC

2. What is your type of RIA registration?
  • SEC
3. Are you a sole practitioner or a member of a firm or team?
  • Member of a Firm
4. What is your relationship to your Registered Investment Advisor?
  • Employee
5. What are your years of applicable financial service experience?
  • 10 Years
6. Do you have any college degree(s)?
School
Degree
Major
Ball State University
BS
History
Butler University
MBA
Finance
7. Do you belong to any industry associations?
  • No
8. What is your CRD or IARD number?
  • 4533371
9. Do you hold any active securities licenses?
  • No Active Security Licenses
10. Which categories of financial services do you provide?
  • Financial Planning Advice & Services
  • Investment Advice & Services
  • Insurance Advice & Services
  • Tax Advice & Services
11. Which planning services do you provide?
  • Financial Plans
  • Retirement Plans
  • College Plans
  • Estate Plans
  • Charitable Plans
  • Tax Plans
  • Other
12. Which investment advisory services do you provide?
  • Investment Strategy & Policy
  • Risk Management
  • Rebalancing
  • Money Manager Selection
  • Performance Reports
  • Asset Allocation
  • Tax Efficient Investing
13. If you make investment decisions for clients, how do you invest their assets?
  • Securities in Separate Accounts
  • Mutual Funds
  • Exchange Traded Funds
  • Hedge Funds
  • Money Market Funds
  • Private Placements
  • Real Estate Partnerships
  • CDs
14. How many clients (not accounts) do you currently service?
  • 38
15. What amount of client assets is currently under your management or advisement?
  • $
16. What is minimum fee for your planning services?
  • Did Not Provide
17. What is your minimum asset requirement for your investment services?
  • $500,000
18. What is your minimum net worth requirement for your planning services?
  • $500,000
19. What type of compensation do you receive for your planning services?
  • Fixed Fees, Asset Based Fees,
20. What type of compensation do you receive for your investment advisory services?
  • Fixed Fees, Asset Based Fees,
21. Do you work with remote clients over the Internet and telephone?
  • Yes
22. Do you hold any active insurance licenses?
  • No Active Insurance Licenses
23. Are you a Registered Investment Advisor or an Investment Advisor Representative?
  • Yes
24. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?
  • Yes
25. What states are covered by your registration(s) to sell investment advisory services?
  • California
  • Florida
  • Illinois
  • Indiana
  • Kentucky
  • Louisiana
  • New York
  • Ohio
  • Texas
26. What states are covered by your registration(s) to sell investment and brokerage products?
  • Not Applicable (I do not sell investment products)
27. What states are covered by your registration(s) to sell insurance products?
  • Not Applicable (I do not sell insurance products)
28. Do you have any compliance disclosures for the past 5 years?
  • Investment Disclosures: No
  • Insurance Disclosures: No
29. Do you have any criminal disclosures since you became an adult?
  • Misdemeanors: No
  • Felonies: No
30. How do investors view your ADV Part II?

Available Upon Request

31. What languages do you speak fluently?
  • English
32. What is your primary role?
  • Planner/Advisor
33. Which investment products do you sell?
  • None (I do not sell investment products)
34. Which insurance products do you sell?
  • None (I do not sell insurance products)
35. Do you provide tax advice and services?
  • Yes
36. Do you provide legal advice and services?
  • Yes
37. Do you provide any limited engagement services?
  • None (I do not provide limited engagement services)
38. What types of clients do you work with?
  • Individuals
  • High Net Worth Individuals
  • Ultra High Net Individuals
  • Endowments
  • Foundations
  • Companies (Non-Pension)
39. Where does your first meeting with a prospective client take place?
  • Investor Preference
40. Which companies act as custodians for your clients assets?
  • Fidelity/National Financial Srvs
  • Schwab
41. What types of reports do you provide your clients and what is the frequency?
  • Performance (Semi-Annually)
  • Brokerage Statement (Monthly)
  • Market Environment (Quarterly)
  • Newsletters (Quarterly)
  • Other (Not Applicable)
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Certification

I certify all of the information in my professional profile is accurate and up-to-date.
Advisor Name: Chris Mickel
Most Recent Update: May/10/2013