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Services & Fees

Marc Edwards and Ken Winans of Winans Investments

Initial Services

A Winans customer’s journey toward stable, steady income begins here.

ASSESSMENT

We conduct a preliminary performance analysis of all existing investments. This often includes an examination of possible tax implications and mutual fund costs associated with the portfolio.

STRATEGY

In conjunction with advice from other financial advisors, we review our clients’ entire holdings. Next, we develop and implement a customized, multi-year investment strategy.

OVERSIGHT

We provide guidance in selecting the brokerage house that will best serve the portfolio’s needs,  overseeing the paperwork required to set up and transfer accounts.

Ongoing Services

MONITORING AND EXECUTING TRADES

Through our research and proprietary processes, we identify new and/or replacement investments for each client based on their individual plan. We constantly monitor existing investments and execute trades in order to meet or exceed client goals in light of the current investment climate.

Near the end of each year, we implement tax-reduction strategies by selling investments that are performing at a significant loss and buying other investments that show a higher potential return.

We handle special client requests such as:

✓  Honoring client investment restrictions
✓  Monitoring client-directed investments
✓  Coordinating investments among multiple accounts
✓  Holding required cash reserves
✓  Providing special research

ACCOUNT MANAGEMENT

cog_wiWe believe that streamlining our clients’ account activities as much as possible produces a better experience for our customers and minimizes confusion and clerical errors. For this reason, we coordinate with the brokerage houses to handle the majority of the administrative issues.

✓  Account document flow
✓  Voting corporate proxies
✓  Filing for shareholder class action lawsuits, etc.

FACE TIME

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We are one of the few firms that still makes house calls, whereby clients can meet with our staff in the privacy of their homes or offices. Our staff is familiar with each client’s individual needs, meaning most issues that arise are handled within 24 hours.

Periodically, we meet in person or hold a conference call to review the portfolio and discuss possible changes. Video conferencing is available.

✓  House calls
✓  Video conferencing
✓  Conference calls

PERFORMANCE REVIEWS

Every quarter, we provide a performance analysis of investments called the Portfolio Overview. This all-inclusive report takes the information provided by the brokerage house on all the accounts being managed for the client and combines it into one report, making it easy to follow the progress toward  reaching the established five-year goal. As part of the portfolio overview, we note: short-term and long-term capital gains transactions, dividend and interest income, and potential deductible fees. This overview allows the investor and his or her accountant to better plan for year-end tax issues.*

✓  All-inclusive annual reviews
✓  Multiyear-plan progress report
✓  Year-end tax overview

*We neither provide nor offer tax advice. You should consult your tax professional before engaging in any planned financial transactions that may have tax implications.

Fees

Winans Investments charges a fee for portfolio management services based on a percentage of the assets under management. Fees are billed in advance each quarter for a prorated amount of the annual fee and are deducted directly from the brokerage account.

The client receives an invoice showing the fee amount, the specific manner in which the fee was calculated, and any late fees imposed on the account. Investment management fees are tax deductible for most clients. Consult your tax professional for additional guidance.

Fee Schedule

Assets Under ManagementGrowth InvestmentsTaxable Income
Investments
Under $500,000Negotiable
$500,001 to $1,000,0001.24%0.92%
$1,000,001 to $2,000,0001.11%0.87%
$2,000,001 to $3,000,0001.03%0.83%
$3,000,001 to $4,000,0001.01%0.81%
$4,000,001 to $5,000,0000.98%0.79%
Over $5,000,000Negotiable

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