Kent Spotts
Kent Spotts is a CFP-designated registered investment advisor at Spc, based in Northfield Center, OH, with 33 years of industry experience. Kent operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 30,881 clients with $5.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SPC offers investment management through the SIGMA Managed Account program. Clients pay an annual account management fee based on a percentage of their account assets. The fee includes a program fee and the IAR's compensation. For example, if your account AUM is $1,500,000, the first $500,000 is billed at 2.50%, the next $250,000 at 1.75%, the next $250,000 at 1.50%, and the remaining $500,000 at 1.25%. The maximum annual advisory fee is 2.5%. The program fee is 0.15% on all assets. There is a $30 minimum annual program fee.
SPC also offers direct-at-fund programs where clients pay an annual asset-based investment management fee of 0.5%.
Location
Northfield Center, OH
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Regulatory History (1)
Customer Dispute
March 1999Other Business ActivitiesSells Insurance
Kent is an insurance agent selling various insurance products and offers financial services through Parkland Securities as Spotts Wealth Management, dedicating nearly full-time hours to these activities. He also works as a ski instructor at Brandywine Resort during the season.
Employment History
Current Registrations
Parkland Securities, LLCBroker
Spc
Previous Registrations
Ameriprise Financial Services, INC.Broker
Ameriprise Financial Services, INC.
Ameriprise Advisor Services, INC.
Ameriprise Advisor Services, INC.Broker
State Registrations3 states
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.