You have a wide range of options when it comes to portfolio management. But chances are, if you're reading this, you're looking for something more. When you choose a financial partner, you expect more, such as innovative strategies, timely investment information, direct personalized service, and a resource who understands and shares your goals.
Sheaff Brock Money Management is an independent investment firm focused on innovative investment strategies that strive to improve the portfolios of both growth and income oriented investors. Their approach to money management challenges many traditional assumptions about investing, and we believe that the way to increase the value of a portfolio is through ownership of stocks. Driven by discipline and data, they design our proprietary strategies with the goal of preserving capital and meeting investors' income and / or growth needs, while taking into account volatility and risk.
Sheaff Brock Money Management operates with a single directive: build and preserve your assets over the long term.
8801 River Crossing Blvd. Suite 100
Indianapolis, Indiana 46240
Sheaff Brock Investment Advisors, LLC was founded in 2001 and comprises a team of professionals with decades of money management experience. Sheaff Brock believes the best way to add value to a portfolio is to own individual stocks. Over the past 16 years, Sheaff Brock has developed a number of investment strategies that are innovative in design and offer investors the potential for better risk-adjusted returns. As a wealth manager, Sheaff Brock takes a highly disciplined approach to managing equity strategies for high net worth registered investors, institutions and investment advisors. This disciplined methodology for managing individual equity portfolios includes a proprietary investment process for implementing a top-down sector and sector analysis with value-based and risk-based stock selection based on the bottom-up principle . Sheaff Brock specializes in innovative and targeted solutions that can provide investors with an active management allocation to their overall diversified strategic allocation. Investment professionals can turn to Sheaff Brock to offer the innovative "sleeve" portfolio to their existing diversified portfolio in order to achieve higher risk-adjusted performance over time.
As the founding director of Sheaff Brock Investment Advisors, LLC, Dave shares responsibility for defining the investment policy, asset allocation and stock selection for the company's managed accounts. He also advises Sheaff Brock's clients on overall portfolio construction. Dave has 25 years of experience in the financial services industry, starting with Bache Halsey Stuart Shields and later Morgan Stanley / Dean Witter. He attended Miami University in Oxford, Ohio, where he earned a Bachelor of Science. In 1984 Dave earned the Certified Financial Planner® (CFP) certification.
As a founding member of Sheaff Brock Investment Advisors, LLC, Ron shares responsibility for defining the investment policy, asset allocation and stock selection for the company's managed accounts. He also advises Sheaff Brock's clients on overall portfolio construction. Ron has over 20 years of financial services experience, starting with Prudential Bache Securities and later with Morgan Stanley / Dean Witter. He attended the Indiana University School of Business, where he earned a Bachelor of Science with a major in accounting.
Sheaff Brock Investment Advisors, registered in 2002, serves 53 states with a licensed staff of 20 advisers. Sheaff Brock Investment Advisors manages $ 1.2 billion and provides investment advisory services to 1,045 clients (advisor to client ratio of 1:53).
When a performance-based fee is charged, the financial advisor is compensated for outperforming a benchmark, usually an index. While this may seem like an attractive compensation structure to make sure your advisor makes your money work for you, often the managers of these products are incentivized to take inappropriate risks to beat their performance index. For example, research has shown that mutual funds that use incentive fees take more risk than funds that don't, and tend to double and increase their risk as a result of poor performance. This could be detrimental to a customer during a downturn in the markets.
Sheaff Brock Investment Advisors has indicated in his statements that he trades recommended securities. While this can often be thought of as “eating your own food,” several inherent conflicts can arise. For example, front running is when a financial professional buys or sells securities before their client. In short, any financial professional should disclose any positions they own (or have sold short) that they recommend to you as well.
Sheaff Brock Investment Advisors receives soft dollar benefits that could encourage them to trade through brokers who provide benefits to the business rather than brokers who could provide the best trade execution to their clients.
|Minimum Investment||Ask firm|
|Average Client Balance||$1,101,360|
|Total AUM||$1.2 billion|
|Fee Range||Ask firm|
|Advisor / Client Ratio||1:53|
|Languages Offered||Ask firm|
|SEC Filings||View SEC IAPD CRD #118739|