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Fidelity Institutional Brokerage Group
Fidelity Investment Advisor Group, a Fidelity Investments company, is a technology driven financial services firm dedicated to serving the needs of registered investment advisors. The company provides institutional brokerage and custody services, advanced money management technologies, dedicated client service and comprehensive marketing support to over 800 registered investment advisors with $60 billion in assets under management as of September 30, 2001.
Triad Advisors, Inc.
Triad Advisors, Inc. is a full-service broker-dealer registered with the National Association of Securities Dealers. It maintains relationships with a number of different investment solution providers. Clients have the option of investing through a brokerage account or buying directly from select mutual fund companies and other specialized product sponsors.
Triad offers a variety of investment resources, including access to over 8,000 mutual funds through brokerage accounts for consolidated reporting on mutual funds and individual stocks.
As a fully disclosed “introducing” broker-dealer, Triad Advisors, Inc. does not maintain custody of client assets. All client assets are held either in client name at the mutual fund companies or in street name through a brokerage account at our clearing firm, National Financial Services, LLC, Member NYSE/SIPC, a Fidelity Investments company.
The principals and associates of Geier Asset Management are registered representatives of Triad Advisors, Inc. If a client chooses to implement our advice through principals and associated persons of Geier Asset Management, our suggested Broker/Dealer will be Triad Advisors, Inc.
In certain instances, Triad Advisors, Inc. will collect as paying agent for Geier Asset Management, the investment advisory fee remitted to us by the account custodian, and Triad Advisors, Inc. will retain a portion as a charge to Geier Asset Management (not the client) for the functions Triad Advisors, Inc. is required to carry out by the FINRA. This fee will not increase execution or brokerage charges to the client or the fee the client has agreed to pay us pursuant to the client’s advisory agreement.
www.triad-advisors.com
National Financial Services, LLC
NFS is utilized for custody of accounts directly advised either by registered representatives of Triad Advisors, Inc. who are investment advisors or other investment advisory entities which are affiliated with registered representatives of Triad. An NFS VIP Management Account or Brokerage Access Account may be used by Geier Asset Management to facilitate investment management of your assets.
Securities in accounts carried by National Financial Services, LLC ("NFS"), a Fidelity Investments company, are protected by the Securities Investor Protection Corporation ("SIPC") up to $500,000 (including cash claims limited to $100,000). NFS has arranged for additional insurance protection for cash and securities to supplement its SIPC coverage. This additional protection covers total account net equity in excess of the $500,000 / $100,000 coverage provided by SIPC. Neither coverage protects against a decline in the market value of securities. |