Client Vault

Partners

Andrews, Lucia Wealth Management is a boutique wealth management firm with many of the same capabilities as large financial institutions due to our family of alliances. The following firms assist us in providing a world class client experience and dynamic portfolio design.

BAM Advisor Services (BAM)

BAM is a service provider to independent registered investment advisor firms. BAM provides a comprehensive array of services directly to investment advisors. These include back office services such as quarterly reporting, serving as a liaison between advisors and broker/dealer custodians, marketing materials, business templates, etc.

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Account Custodians (Fidelity Investments or Schwab Institutional)

While ALWM provides investment advice, we do not have direct access to your account assets. As a client you choose either Charles Schwab or Fidelity Investments to custody your account.

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Dimensional Fund Advisors

Our evidence-based asset class investment approach is translated by Dimensional Fund Advisors (DFA) into an array of mutual funds, each of which is rigorously designed to capture a particular “dimension” or asset class within a globally diversified portfolio.
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Annuity Management – AEGON

ALWM does not typically recommend annuities as a cost-effective investment vehicle, but if you already hold an annuity that is restricted from or cost-prohibitive to surrender, you may be able to transfer it to an alternative annuity.

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Ascendant Compliance Management, Inc.

Ascendant Compliance Management is a leader in compliance and registration consulting services for Investment Advisors. Ascendant works closely with ALWM providing ongoing compliance consulting, guidance and training.

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