Fritz Harnsberger

902 El Rancho Road
Santa Barbara, California, 93108
Phone: 805.969.9646
Website: MarathonIP.com
Credentials:
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Registry Member Since 2009

Business Philosophy

I have been safely managing client accounts since 1993. My investment philosophy is centered around the absolute best financial interest of my clients, always acting in accordance with the first rule of investing, which is “Don’t Lose Money”. <br><br> I believe any investment manager who is worth your consideration should be willing to present an audited track record. My track record is available for all to see at www.MarathonIP.com. <br><br> If you are interested in learning more I would love to speak with you. Many of my clients have been with me for over ten years. I can provide character references from them and track record audit reports at your request.

My Minimum Asset Requirements: $250,000

Types of Clients:
  • Individuals
  • Companies (Non-Pension)
  • Companies (Pension)
  • Public Funds
  • Foundations
Types of Services:
  • Investment Advice & Services
  • Insurance Advice & Services
Assets Under Management:
  • Did Not Provide
Number of Clients:
  • Did Not Provide
1. What are your firm names?
  • Registered Investment Advisor

    Fritz Harnsberger

2. What is your type of RIA registration?
  • SEC
3. Are you a sole practitioner or a member of a firm or team?
  • Member Firm or Team
4. What is your relationship to your Registered Investment Advisor?
  • Owner
5. What are your years of applicable financial service experience?
  • 18 Years
6. Do you have any college degree(s)?
School
  • California Polytechnic University
  • Pepperdine University
Degree
  • Bachelor of Science degree in Mechanical Engi
  • Master of Business Administration
Major
    7. Do you belong to any industry associations?
    • No
    8. What is your CRD or IARD number?
    • 111487
    9. Do you hold any active securities licenses?
    • No Active Security Licenses
    10. Which categories of financial services do you provide?
    • Investment Advice & Services
    • Insurance Advice & Services
    11. Which planning services do you provide?
    • None (I do not provide planning services)
    12. Which investment advisory services do you provide?
    • Investment Strategy & Policy
    • Rebalancing
    • Money Manager Selection
    • Other
    • Asset Allocation
    • Performance Reports
    13. If you make investment decisions for clients, how do you invest their assets?
    • Did Not Provide
    14. How many clients (not accounts) do you currently service?
    • Did Not Provide
    15. What amount of client assets is currently under your management or advisement?
    • Did Not Provide
    16. What is minimum fee for your planning services?
    • Did Not Provide
    17. What is your minimum asset requirement for your investment services?
    • $250,000
    18. What is your minimum net worth requirement for your planning services?
    • Did Not Provide
    19. What type of compensation do you receive for your planning services?
    • Did Not Provide
    20. What type of compensation do you receive for your investment advisory services?
    • Asset Based Fees
    21. Do you work with remote clients over the Internet and telephone?
    • Yes
    22. Do you hold any active insurance licenses?
    • Life
    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
    26. What states are covered by your registration(s) to sell investment and brokerage products?
    • Did Not Provide
    27. What states are covered by your registration(s) to sell insurance products?
    • Did Not Provide
    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?
    • Did Not Provide
    32. What is your primary role?
    • Did Not Provide
    33. Which investment products do you sell?
    • None (I do not sell investment products)
    34. Which insurance products do you sell?
    • Did Not Provide
    35. Do you provide tax advice and services?
    • No
    36. Do you provide legal advice and services?
    • Did Not Provide
    37. Do you provide any limited engagement services?
    • Did Not Provide
    38. What types of clients do you work with?
    • Individuals
    • Companies (Non-Pension)
    • Companies (Pension)
    • Public Funds
    • Foundations
    39. Where does your first meeting with a prospective client take place?
    • Investor's Preference
    40. Which companies act as custodians for your clients assets?
    • TD Ameritrade
    • Rydex|SGI
    • Nationwide
    41. What types of reports do you provide your clients and what is the frequency?
    42. General Comments:

    Certification

    I certify all of the information in my professional profile is accurate and up-to-date.
    Advisor Name: Fritz Harnsberger
    Most Recent Update: May/ 8/2013