Gene Austin
Gene Austin is a registered investment advisor at Austin Financial Strategies, INC., based in Indianapolis, IN, with 33 years of industry experience. Gene operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Investment Management, and 2 more. Their firm serves 84 clients with $22M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
AFS offers investment management services with fees based on the value of the assets managed.
For individual equities, exchange traded funds, or a combination of mutual funds and individual equities, the annual fee ranges are:
- $50,000 - $499,000: 1.50% - 2.00%
- $500,000 - $999,000: 1.25% - 1.75%
- $1,000,000+: 1.00% - 1.50%
For self-directed retirement plan accounts, fees are assessed monthly. For accounts actively managed, the monthly fees range from $15/month (for accounts under $24,999) to $250/month (for accounts over $500,000). A passively managed option is available for $45 per calendar quarter.
For variable annuity management, the annual fee ranges are:
- $15,000 - $499,999: 1.50% - 2.00%
- $500,000 - $999,999: 1.00% - 1.50%
- $1,000,000+: 0.75% - 1.00%
All fees are negotiable.
Location
5110 Commerce Square Dr, Suite G, Indianapolis, IN, 46237
Get directionsHistory
Regulatory History (6)
Customer Dispute
September 2016Judgment / Lien
November 2015Investigation
October 2007Customer Dispute
April 2007Customer Dispute
April 2006Employment Separation After Allegations
April 1999Other Business Activities
Gene serves as President of Austin Financial Strategies, a state-registered RIA, and President of Austin Financial Group, a sub S corporation for securities and variable products sales; each takes about half of his time. He also owns Austin Speed and Agility, a corporation training athletes, dedicating about a quarter of his time outside of business hours.
Employment History
Current Registrations
Austin Financial Strategies, INC.
Previous Registrations
TradingblockBroker
Adirondack Trading Group LLCBroker
Creative Financial Designs, INC.
Cfd Investments, INC.Broker
American United Life Insurance CompanyBroker
Aul Equity Sales CORP.Broker
State Registrations1 state
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.