Roger Hewins

400 South El Camino Real, Suite 800
San Mateo, California, 94402
Telephone: 888.520.3040
Medium_437_150420092257331
Registry Member Since 2004

Business Philosophy

Did Not Provide

1. What is your type of RIA registration?
  • SEC
2. Are you a sole practitioner or a member of a firm or team?
  • Member Firm or Team
3. What is your relationship to your Registered Investment Advisor?
  • Owner
4. What are your years of applicable financial service experience?
  • 24 Years
5. Do you have any college degree(s)?
  • No
6. Do you belong to any industry associations?
  • No
7. What is your CRD or IARD number?
  • 109983
8. Do you hold any active securities licenses?
  • 65
9. Which categories of financial services do you provide?
  • Investment Advice & Services
10. Which planning services do you provide?
  • Financial Plans
  • College Plans
  • Estate Plans
  • Charitable Plans
11. Which investment advisory services do you provide?
  • Investment Strategy & Policy
  • Risk Management
  • Rebalancing
  • Tax Efficient Investing
  • Asset Allocation
  • Asset Allocation
  • Performance Reports
  • Money Manager Selection
  • Performance Reports
12. If you make investment decisions for clients, how do you invest their assets?
  • Did Not Provide
13. How many clients (not accounts) do you currently service?
  • Did Not Provide
14. What amount of client assets is currently under your management or advisement?
  • Did Not Provide
15. What is your minimum fee for your planning services?
  • Did Not Provide
16. What is your minimum fee for your investment services?
  • Did Not Provide
17. What is your minimum asset requirement for your investment services?
  • $1,000,000
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?
  • Asset Based Fees
  • Hourly Fees
20. What type of compensation do you receive for your investment advisory services?
  • Asset Based Fees
  • Hourly Fees
21. Do you work with remote clients over the Internet and telephone?
  • No
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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?
  • Did Not Provide
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?
  • Planning Only (No investment services)
  • Financial Plan Reviews
38. What types of clients do you work with?
  • Individuals
  • Companies (Non-Pension)
  • Companies (Pension)
  • 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?
  • Charles Schwab Institutional
41. What types of reports do you provide your clients and what is the frequency?
42. General Comments:

Did Not Provide

Certification

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