Don Brosz, JD
Cincinnati, Ohio, 45249
Member Since 2006
WaterStone Investment Counsel, LLC is a registered investment advisory firm. We provide individual stock and bond portfolio management for individuals, family trusts, endowments, and corporate retirement plans. We manage portfolios for growth, income or a combination of the two. We are dedicated to creating and preserving wealth for our clients. Besides being a faith based firm, our investment experience is one of our most important attributes. For portfolios above $200,000, we charge a flat fee of $500 per quarter. Whether the portfolio is $200,000 or $20 million, we charge $500 per quarter to manage the portfolio. If below $200,000, the management fee is 1% per year; which will be less than the maximum of $500 per quarter.
My Location
Background Information
Years of Financial Experience
- 30
Education
- Taft Law School (Juris Doctor)
- University of Cincinnati (BBA, Finance)
Certifications and Designations
- JD
Association Memberships
- Association for Investment Management and Research
- Cincinnati Society of Financial Analysts
Methods of Compensation
- Financial Planning: Hourly fee, Fixed fee
- Investment Services: Asset-based fee
Full Disclosure
- I practice full disclosure for credentials, ethics, business practices, compensation, potential conflicts of interests, and financial services.
Primary Custodian(s)
- Fidelity/National Financial Srvs
- Charles Schwab & Co.
Types of Financial Reports
- Performance Report (Quarterly)
- Market Environment Report (Monthly)
- Custodial Report (Monthly)
- Newsletter (Quarterly)
Additional Business Practices
- I provide a written agreement to clients before I provide any advice or services.
- I work with remote clients over the telephone and Internet
- My clients have online access to their financial data
- I review my clients' financial plans with them quarterly and upon request
- I review my clients' investment portfolios with them monthly, quarterly, semi-annually, annually and upon request
Registration & Licensing
- CRD/IARD Number: 714001
- Securities Registrations: Series 65
- Insurance Licenses: Life, Annuity
Company Names
- Broker/Dealer: None
Fiduciary Status
- Acknowledged Fiduciary in advisory relationships
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures
Registered or licensed to provide financial advice, services, and products
- All 50 States
Planning Services
- Financial Planning, Retirement, Estate, Charitable, Tax, Current Review
Investment Services
- Strategy Development, Written investment policy, Asset allocation, Re-Balancing, Risk Management, Performance Reporting, Tax Efficient Strategies, Review Current Portfolios
Investment Products
- Mutual Funds, Securities, Hedge Fund, REITs
Insurance Products
- Life, Fixed Annuity, Long-Term Care, Business
Visit Website - http://www.waterstone-ic.com
