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Applied Advisor
Applied Advisor is a registered investment advisor providing fiduciary-bound portfolio management and financial planning to individuals and institutions.
Applied Advisor
Applied Advisor is registered as an investment advisor with the Securities and Exchange Commission, according to public records. The firm provides discretionary and non-discretionary advisory services, including financial planning, portfolio management, and retirement consulting. Its client base includes both high-net-worth individuals and institutional accounts. The advisory model centers on asset allocation strategies using mutual funds, exchange-traded funds, and individual securities. The firm charges asset-based and fixed fees rather than commissions, a structural choice that aligns its revenue with client portfolio performance rather than transaction volume. Public filings indicate the advisor uses fundamental and technical analysis in constructing portfolios, deploying capital across equity, fixed income, and alternative investment strategies. The firm has disclosed no proprietary investment products, placing it in the category of open-architecture advisors. Public filings indicate the firm manages less than $1 billion in regulatory assets. Applied Advisor has no publicly disclosed institutional co-investor vehicles, club structures, or affiliated operating companies. The firm's ADV filings confirm it maintains no material disciplinary history, a baseline governance marker for fiduciary operations. What differentiates Applied Advisor structurally from larger wirehouses and broker-dealers is its pure fiduciary registration. The firm is organized solely as a registered investment advisor without a broker-dealer affiliate, meaning every client relationship is subject to the duty of care and loyalty mandated by the Investment Advisers Act of 1940. This architecture removes structural conflicts of interest related to proprietary product sales and commission-based incentives.
General information
Firm type
Asset Manager
Year founded
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AUM
Undisclosed
Location
Region
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Country
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City
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Corporate office
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Frequently asked questions
Is Applied Advisor bound by a fiduciary duty to its clients?
Yes. As a firm registered solely as an investment advisor with the SEC, Applied Advisor owes a fiduciary duty of care and loyalty to every client, according to public filings. This means the firm must act in the client's best interest, disclose conflicts, and seek best execution. The regulatory obligation is distinct from the suitability standard that applies to broker-dealers.
What investment vehicles does Applied Advisor use to construct portfolios?
Public regulatory filings indicate the firm constructs client portfolios using mutual funds, exchange-traded funds, individual equities, and fixed-income instruments. The firm does not market proprietary investment products, which limits embedded product conflicts common at broker-dealer affiliates. Portfolio construction relies on third-party research and public-market instruments.
How does Applied Advisor charge for its services?
The firm uses a fee-only compensation model, billing clients as a percentage of assets under management, via fixed fees, or on an hourly basis, per its Form ADV filings. Applied Advisor does not receive commission-based compensation or revenue-sharing from product providers. This fee structure is consistent with its fiduciary-only registration.
Does Applied Advisor have any disciplinary history?
No. Public records through the SEC's Investment Adviser Public Disclosure database show no material disciplinary events, regulatory actions, or client-initiated arbitrations that would require reporting on the firm's Form ADV. The clean record is a minimum governance signal for institutions conducting operational due diligence.
What size institution does Applied Advisor serve?
The firm serves both individual and institutional clients, but its regulatory assets under management fall below $1 billion, according to the most recent public filings. The client advisory book skews toward individual portfolio management rather than large institutional separate accounts. The firm has not publicly disclosed major endowment, foundation, or pension fund relationships.
Profile maintained by Altss using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.
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