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Walter Roderer

Harbour Investments, INC.
40 Years of Experience
Dayton, OH
3 DisclosuresBrokerSells Insurance
View SEC Summary
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Walter Roderer is a registered investment advisor at Harbour Investments, INC., based in Dayton, OH, with 40 years of industry experience. Walter is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 30,309 clients with $9.6B in assets under management.

Harbour Investments, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
252 advisors
Number of Clients
30,309 clients
Average Client Portfolio
$317K average
Assets Under Management
$9.6B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum management fee is 2.0% of assets under management. Fees are negotiated between the client and representative. Third-party manager programs range from 0.25% to 2.50% total annual fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

245 W. Elmwood Dr, Suite 115, Dayton, OH, 45459

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2012
Denied
Employment Separation After Allegations
May 2011
Employment Separation After Allegations
April 2011
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Walter is an independent insurance agent and owner of Roderer Financial Group since 2010, dedicating a few hours per week. He also owns Roderer Tax Group, LLC, a tax preparation business, spending about 10-20% of his time on it regularly and about a quarter of his time during tax season.

Employment History
Current Registrations
Harbour Investments, INC.
October 2011 - Present · 15 yrs
Harbour Investments, INC.Broker
May 2011 - Present · 15 yrs 5 mos
Previous Registrations
Kiplinger Wealth Advisors
June 2009 - May 2011 · 1 yr 11 mos
Securities America, INC.Broker
June 2009 - May 2011 · 1 yr 11 mos
Fifth Third Securities, INC.
February 2005 - June 2009 · 4 yrs 4 mos
Fifth Third Securities, INC.Broker
May 2004 - June 2009 · 5 yrs 1 mo
Citigroup Global Markets INC.
December 1999 - May 2004 · 4 yrs 5 mos
Citigroup Global Markets INC.Broker
July 1993 - May 2004 · 10 yrs 10 mos
Lehman Brothers INC.Broker
August 1988 - July 1993 · 4 yrs 11 mos
Investment Management & Research, INCBroker
April 1986 - July 1988 · 2 yrs 3 mos
State Registrations3 states
FLOHWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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