Paladin research report for:

Financial Synergies Asset Management

Key Contact: Mike Minter

Badge1_firm
Telephone
713.623.6600

I. Snapshot

A. Key Contact Name
  • Mike Minter
  • Telephone: (713) 623-6600
B. Combined Credentials of Key Professionals
  • Number of Firm Professionals: 5
    Average Years of Experience: 17
    Combined Degrees: 6
    Certifications: 8
C. Firm Record of Compliance
  • No Disclosures
D. Assets Under Management & Advisement
  • $508,000,000
E. Minimum Asset Requirement
  • $50,000
F. Types of Client Relationships
  • Traditional
  • Virtual

II. Contact Information

A. Key Contact
  • Mike Minter
B. Main Location
  • 4265 San Felipe St
    Ste 1450
    Houston, Texas, 77027
C. Additional Locations
  • None
D. Telephone
  • Main: 713.623.6600

III. Internet

A. Website URL
B. Social Connections

IV. Firm(s)

A. Name of Firm
  • Financial Synergies Asset Management
B. Name of Registered Investment Advisor
  • Financial Synergies Asset Management
C. Name of Broker/Dealer
  • None

V. Professionals

VI. Firm Registration, Licensing, Compliance

A. Firm Registration (Advice & Services for Fees)
  • RIA
B. Type of RIA Registration
  • SEC
C. Firm Licenses (Commission Products)
  • Securities: Yes
  • Insurance: No
D. Firm Registration & License Numbers
  • CRD: 105643
  • IARD: None
  • Insurance: None
E. Firm State Licensing
  • Financial Advice, Services for Fees: All 50 States
  • Investment Products for Commission: Not Applicable
  • Insurance Products for Commission: Not Applicable
F. Financial Fiduciary (Advice & Services for Fees)
  • Yes
G. Firm Record of Compliance
  • FINRA.org: No Disclosures
  • SEC.gov: No Disclosures
  • State Securities: Not Applicable
  • State Insurance: Not Applicable
H. Additional Disclosure(s)
  • None
I. View Firm ADV
J. Links to Regulatory Agencies and Associations

VII. Business Data & Practices

A. Firm Business Philosophy
  • Read Business Philosophy

    We want to help you simplify your life and accomplish your financial goals. There are many moving parts in your financial world, and you need an advisor that can organize all the pieces of the puzzle into one cohesive plan. And we'll provide you with much more than just money management. Financial Synergies is a total wealth management firm, which includes comprehensive financial planning and investment management. All of our advisors are CERTIFIED FINANCIAL PLANNER™ professionals with the knowledge and experience to help you make prudent financial decisions.

B. Minimum Asset Requirement
  • $50,000
C. Number of Current Clients
  • 340
D. Assets (Management, Advisement)
  • $508,000,000
E. Methods of Compensation
  • Asset-Based Fee
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Skype/Video
  • GoToMeeting (or similar service)
G. Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Market Environment (Bi-Monthly)
  • Newsletters (Quarterly)
  • Other: Weekly Blogs
H. Value Statement
  • View Value Statement
    Our primary goal is to simplify your financial life. We are a total wealth management firm, which includes comprehensive financial planning and investment management. We use an evidence-based approach to investing, and do not engage in market timing or tactical allocation.

VIII. Clients & Services

A. Types of Firm Clients
  • Individuals & Couples (Working)
  • Individuals & Couples (Retired)
  • Business Pension Plans
  • Business (Taxable)
  • Endowments & Foundations
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
  • Tax Advice & Services
C. Discretionary Asset Management
  • Yes
D. Limited Engagement Services
  • Financial Plan Reviews
  • Investment Portfolio Reviews
E. Custodian(s)
  • Charles Schwab

IX. Certification

Firm Name
  • Financial Synergies Asset Management
Most Recent Update:
  • Jul 8, 2016

Other