What is the CPWA Designation
How We're Different
Becoming A Client
What We Offer
Fee-only Second Opinion
Financial Planning & Consulting Services
Tailored Investment Approach
Strategic Professional Avenues
How We Are Different
Our firm is built and driven by client needs & expectations.
We get high marks for client service and access to your advisor. No robots answering calls telling you how important you are while you are on hold.
Our clients like to know exactly what they own. Consequently, we specialize in building private individual portfolios of separate equity and bond positions.
Our clients appreciate an advisor who is a fiduciary. We have embraced our fiduciary duty since the beginning by organizing our firm as a Registered Investment Advisor rather than as a non-fiduciary structure.
We work with our clients advising them on issues related to private wealth management and investment planning. Although we serve clients in many phases of wealth accumulation, we specialize in working with accredited & qualified investors and their families.
Our clients prefer an advisor who is compensated by a fee rather than by commissions. Our practice is a fee-only firm. Instead of earning commissions by trading in an investment account, we assess an annual percentage fee based on the value of the account. It's a simple arrangement.
The firm does not have custody of our clients' assets. A third-party custodian holds the assets, prepares statements, and produces other applicable reports. TD Ameritrade/Schwab Institutional and LPL Financial serve as our custodians.
We work on a fixed fee and hourly basis also. This type of arrangement can work well for financial plans and second opinions.
Prior to founding our SEC Registered Investment Advisory firm, our founder, Duane Bazis, held leadership positions at several large Wall Street Investment firms, including Portfolio Manager and Branch Manager. However, he found those environments simply weren’t conducive for him to serve his clients’ best interests, so he founded our current practice.
Duane's family roots are blue-collar. He understands what it is like to start with very little. His grandparents and parents, uncles and aunts immigrated and worked in the packing houses in Omaha, Nebraska. Those humble beginnings, are still humble in attitude.
What motivation drives our firm? The importance of preserving the wealth our clients have accumulated—not only for the current generation, but for the generations to come!