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Paladin Registry Member

This advisor or firm is a vetted, documented member of the Paladin Registry.

Advisors and firms must meet Paladin’s rigorous admittance requirements to qualify for membership in the Registry.

Paladin provides free information services to investors who rely on planners and investment advisors to help them achieve their financial goals. Paladin is the only SEC registered firm that vets, validates, and documents the quality of financial professionals and firms (since 2003).

Paladin Research Report For:

Fisher Investments

Fisher Investments

Fisher Investments, a financial fiduciary, has been a Paladin Registry member since 2019. Firm provides financial services to clients in the Camas, Washington area.

I.
Snapshot

Part I provides a quick summary of this advisor’s credentials, ethical history, and business practices. See additional descriptive information in Parts IV through VIII of this research report.

A. Registry Member
  • Since 2019
B. Years of Experience
  • N/A
C. College Degrees
  • N/A
D. Certifications
  • N/A
E. Financial Fiduciary
  • Yes
F. Business Philosophy
  • Read Business Philosophy

    Fisher Investments is a fee-only investment adviser serving institutional and private clients globally. Our founder, Ken Fisher, designed the firm with one vision in mind: putting clients at the forefront and building an investment management firm to support long-term investment objectives. Our client-first approach puts the focus on clients and their investment needs. We manage virtually every aspect of the investment process for clients, invest globally, dynamically and flexibly, create personalized portfolios for clients and offer unparalleled service and ongoing education to clients. Fisher Investments separates sales, service and other responsibilities into distinct roles. Our clients’ dedicated Investment Counselors focus on providing service—and do not have the ability or incentive to sell products to clients. We use well-known, independent, third-party custodians to house client assets.

G. Asset Requirement
  • $500,000

II.
Contact Information

Part II provides general contact information

A. Key Contact
B. Main Location
  • 5525 NW Fisher Creek Drive
    Camas, Washington, 98607
C. Telephone
  • 800-587-5512
D. Comments
  • Fisher Investments is a privately owned, independent, fee-only Registered Investment Adviser that has helped investors achieve their financial goals for over 40 years. As of 3/31/2019, Fisher Investments has $107 billion under management for more than 55,000 private clients and over 175 large institutions. Currently we have over 3,000 employees that support the investment process and firm operations. Fisher Investments has offices in California, Washington and Texas, USA, wholly-owned subsidiaries in the UK, Australia, Ireland, Japan and Germany and a branch office in Dubai. Fisher Investments provides a flexible investment approach, personalized portfolios, global investing experience, ongoing education and direct proactive customer service to our clients. Fisher Investments clients receive personalized and proactive service from an Investment Counselor, the dedicated point of contact. Clients receive support throughout their relationship at Fisher Investments, from initial portfolio recommendations, account setups, transfers, asset allocation decisions and individual security trading.

III.
Internet

You should use the Internet to conduct your own online research for advisors before you select them:

  • Visit firm websites
  • Google search names (advisors, firms, owners of firms)
  • Check advisor compliance records at FINRA.org
  • View firm ADVs at SEC.gov
  • View social connections
  • Read articles that have been written by this advisor or firm
Tip: The information on the Internet is easy to access, you retain your anonymity while you conduct your research, and you will find information that helps you make the right decisions.

B. Social Connections

IV.
Firm(s)

This part of the research report contains important information that describes an advisor’s relationship to various financial firms.

RIA (Registered Investment Advisor): This type of firm registration permits the advisor to provide financial advice and services for fees.

Broker/Dealer: This type of firm licenses representatives who sell financial products for commissions.

Relationship: The advisor may be an owner, employee, partner, or independent contractor.

Tip: Make sure you know who owns the advisor’s RIA and Broker/Dealer (if applicable). The firm may look independent, but it may be owned by a bank or insurance company. Google the name of the owner to make sure there is no history of financial fraud, misrepresentation, or omission.

A. Name of Firm
  • Fisher Investments
B. Relationship to Firm
  • Did Not Answer
C. Name of RIA
  • Fisher Investments
D. Name of Broker/Dealer
  • N/A
E. Name(s) of Custodian(s)
  • Available on request
F. Professionals
G. Comments
  • Fisher Investments was founded by Ken Fisher, current Executive Chairman and Co-Chief Investment Officer. Ken Fisher’s financial research has been published in professional and academic journals, and he has authored 11 finance-related books, including four New York Times bestsellers. Ken Fisher is the longest continuously running columnist in Forbes history. His “Portfolio Strategy” Column ran from 1984 through 2016. The additional members of the investment Policy Committee, the five-member senior management team that oversees portfolio management, are Vice Chairman and Co-Chief Investment Officer Jeff Silk, Senior Vice President of Research Aaron Anderson, Executive Vice President of Portfolio Management Bill Glaser and Senior Vice President of Research Michael Hanson. Fisher Investments first began managing discretionary assets in 1979. In the 1990s, Fisher Investments began managing assets for high-net worth individuals under our Private Client Group. In the early 2000s, the firm expanded our offerings to investors globally. As of 3/31/2019, Fisher Investments has $107 billion under management for more than 55,000 private clients and over 175 large institutions.

V.
Credentials

You want a real expert with documented credentials helping you plan your financial future and invest your assets in the securities markets.

Real experts have valid, documented credentials that include degrees, experience, and high quality certifications.

Paladin Quality Rating: Paladin is the only SEC registered firm that vets and rates the quality of financial advisors and firms. A 5 Star rating means the advisor or firm scored in the 90th percentile or higher when Paladin rated the quality of their credentials, ethics, business practices, and services.

Experience: Years of experience is the best way for advisors to become real financial experts.

Education: Degrees should be from accredited institutions. Use the Internet to research schools you may not have heard of. Some advisors buy degrees to appear more knowledgeable than they really are.

Certifications: Also called designations, certifications are the best way for advisors to acquire specialized knowledge in shorter time periods. Some certifications are extremely valuable (CFA, CFP, CIMA, CPA). 35% of certifications are fake (Source: Paladin Research).

Associations: Membership in quality associations can also be a source of specialized knowledge if the organizations have continuing education requirements.

Firm Credentials: Some advisors represent firms that employ or license multiple professionals. Some of these professionals may impact your financial results.

Tip: Real experts have good educations, years of experience, and high quality certifications and designations.

A. Years of Financial Experience
  • N/A Years
B. College, Degrees, Years
  • Did Not Provide

VI.
Registration, Licensing,
Compliance

You want a real financial expert. You also want an expert you can trust.

Registration: Only Registered Investment Advisors (firms) and Investment Advisor Representatives (professionals) can provide financial advice and ongoing services for fees.

Type of Registration: RIAs with less than $100 million of assets register with your state’s Securities Commissioner. RIAs with more than $100 million of assets register with the Securities and Exchange Commission.

Industry Licenses: These licenses permit advisors to sell investment and insurance products for commissions.

Registration & License Numbers: Use the advisor and firm’s registration and license numbers to check compliance records at: FINRA.org, SEC.gov, your State’s Securities Commissioner, and your State’s Insurance Commissioner.

State Licensing: Make sure the advisor is licensed to sell investment and insurance products in your state. Make sure the advisor is properly licensed before you buy.

Financial Fiduciary: RIAs and IARs are fiduciaries who are held to the highest ethical standards in the financial service industry. Salesmen are held to lower ethical standards that do not require them to put your financial interests first.

Compliance Record (Investment): Does an advisor or firm have disclosures on compliance records that are maintained by FINRA.org, SEC.gov, or your state’s Securities Commissioner?

Compliance Record (Insurance): Does an advisor or firm have disclosures on compliance records that are maintained by your state’s Insurance Commissioner?

Criminal Disclosures: It may be hard to believe, but convicted felons can obtain securities licenses if their crimes were not securities related.

Additional Disclosures: Advisors and firms have the option of providing additional disclosures that are published on their Paladin Research Reports.

ADVs: RIAs file ADVs with the Securities and Exchange Commission. These documents provide valuable information about advisory firms.

Links: Click on these links to view additional information about advisors and firms on third party websites.

A. RIA/IAR Registration
  • RIA
B. Type of RIA Registration
  • SEC
C. Industry Licenses
  • RIA/IAR Registration
D. Registration & License Numbers
  • CRD: 107342
  • IARD: None
  • Insurance: None
E. State Licences
  • Financial Advice, Services for Fees: All 50 States
F. Compliance Record (Investment)
  • No Disclosures
G. Compliance Record (Insurance)
  • No Disclosures
H. View our ADV(s)
  • Available Upon Request
I. Links

VII.
Business Data & Practices

Part VII describes the advisor’s business and practices. How does the advisor’s business practices compare to other professionals you are considering?

Business Philosophy: Every advisor has a business philosophy. This makes philosophy a differentiating characteristic. Compare philosophies and select the one that has the highest probability of helping you achieve your financial goals.

Minimum Asset Requirement: A high percentage of financial advisors have minimum asset requirements for new clients. Advisors with bigger practices tend to have higher minimums. Advisors with smaller practices tend to have lower minimums. Some advisors will work with anyone who would benefit from their services.

Number of Current Clients: An indicator for the scope of an advisor or firm’s current business.

Assets Under Management or Advisement: An indicator for the scope of an advisor or firm’s current business.

Method(s) of Compensation: A critical variable when you select a financial advisor. Real advisors are compensated with fees. Salesmen are compensated with commissions. Some professionals receive both types of compensation.

Methods of Communication: Traditional advisors will meet face-to-face in your location or their offices. Virtual advisors communicate via email, telephone, or Skype. All Robo advisor communications are online.

Types of Reports: Performance reports are the most important type of documentation. You may also want brokerage statements, market environment reports, and newsletters.

Second Language: It may be important to you that your advisor speaks a second language.

Value Statement: This statement may describe how this advisor or firm produces value that offsets expenses that are deducted from your accounts. The statement may also describe differentiating characteristics.

Tip: Select an advisor or firm that has an investor-friendly business model and practices.

A. Business Philosophy
  • Read Business Philosophy

    Fisher Investments is a fee-only investment adviser serving institutional and private clients globally. Our founder, Ken Fisher, designed the firm with one vision in mind: putting clients at the forefront and building an investment management firm to support long-term investment objectives. Our client-first approach puts the focus on clients and their investment needs. We manage virtually every aspect of the investment process for clients, invest globally, dynamically and flexibly, create personalized portfolios for clients and offer unparalleled service and ongoing education to clients. Fisher Investments separates sales, service and other responsibilities into distinct roles. Our clients’ dedicated Investment Counselors focus on providing service—and do not have the ability or incentive to sell products to clients. We use well-known, independent, third-party custodians to house client assets.

B. Minimum Asset Requirement
  • $500,000
C. Number of Current Clients
  • As of 3/31/2019, Fisher Investments has over 55,000 private clients and over 175 large institutions.
D. Assets (Management, Advisement)
  • $107,000,000,000
E. Methods of Compensation
  • Asset-Based Fee
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Skype/Voice
  • Skype/Video
  • GoToMeeting (or similar service)
G. Types of Reports (Frequency)
  • Performance (qa)
  • Market Environment (qa)
  • Other: On-demand communication is available. Trade confirmations and monthly statements are provided by the custodian.
H. Value Statement
  • View Value Statement
    Fisher Investments is dedicated to helping investors reach their long-term goals, and has been working to make the financial services industry a better place since 1979. We are a fiduciary, meaning we are obligated to put our clients’ interests first. We align our fees with clients’ interests, create personalized portfolios tailored to each client’s situation and provide unparalleled service and education resources to clients.

VIII.
Clients & Services

Part VIII provides information about this advisor or firm’s clientele and services.

Types of Clients: Describes the types of clients this advisor or firm works with. You should ask for a breakdown of clients to make sure the advisor works with a lot of clients like you.

Types of Services: Describes the types of services that are provided by this advisor or firm. Make sure the advisor provides the services that you are seeking.

Discretionary Asset Management: Some advisors and firms make investment decisions for clients without the clients’ approval in advance.

Limited Engagement Services: Some advisors provide limited engagement services that do not require assets.

Custodian(s): Financial advisors are not allowed to come in contact with your assets. They use the services of third party or firm custodians to hold your assets for you. Make sure the advisor uses the services of a brand name custodian or a custodian with a long history of providing services to investors with billions of dollars of assets.

Tip: There are five types of financial advice and services: Planning, Investment, Insurance, Tax, and Legal (wills, trusts).

A. Types of Clients
  • Individuals & Couples (Working)
  • Individuals & Couples (Retired)
  • Business Pension Plans
  • Business (Taxable)
  • Endowments & Foundations
  • Taft-Hartley Pension Plans
  • Public Pension Plans
B. Types of Financial Services
  • Financial Planning
  • Investment Advice & Management
C. Discretionary Asset Management
  • No
D. Limited Engagement Services
  • None
E. Comments
  • Investing in stock markets involves the risk of loss and there is no guarantee that all or any capital invested will be repaid. Past performance is no guarantee of future returns. This document constitutes the general views of Fisher Investments and should not be regarded as personalized investment or tax advice or as a representation of its performance or that of its clients. No assurances are made that Fisher Investments will continue to hold these views, which may change at any time based on new information, analysis or reconsideration.

IX.
Certification

Certification: Advisors certify the data in this research report are complete and accurate. Check Most Recent Update to determine the last time this advisor or firm updated this report.

Most Recent Update:
  • Feb 21, 2020

BASIC INFORMATION NEEDED FOR THE INQUIRY

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