When you’re seeking financial guidance, it is helpful to understand the different types of professionals who are available and the types of services they provide.
The retail financial industry distributes its products and advice through a broker, a person who introduces a willing buyer to a willing seller of a product. In many cases, the commission they receive depends upon the benefit to the company that manufactured the financial product.
Retail products, such as mutual funds, are designed to give the general public access to financial markets. Distribution and marketing costs, together with internal trading commissions, are built into these retail products.
Institutional investments are handled by financial advisors. They normally receive a quarterly fee based on the value of the client’s assets being managed.
A financial advisor can also work directly with mutual fund money managers to help reduce the additional cost of retail products.
Many financial advisors provide wealth management services. At Capital Income Advisors, we use a three-step process:
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