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Barry Dick

The Fiduciary Alliance
19 Years of Experience
Tewksbury, MA
2 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Barry Dick is a registered investment advisor at The Fiduciary Alliance, based in Tewksbury, MA, with 19 years of industry experience. Barry operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Business Owners, Education Planning, Estate Planning, and 6 more. Their firm serves 8,964 clients with $2.5B in assets under management.

The Fiduciary Alliance
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
48 advisors
Number of Clients
8,964 clients
Average Client Portfolio
$282K average
Assets Under Management
$2.5B

Fee Structure

Minimum Investment:None
Planning is included in investment management
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum annual fee is up to 2.00%, and fees are negotiable. Certain alternative investments may also involve a performance-based fee or carried interest of up to 25% of profits above a threshold.

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

Location

461 Main St, Tewksbury, MA, 01876

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History

Regulatory History (2)
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
March 2007
Denied
Employment Separation After Allegations
January 2003
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Barry is co-owner of Dick Insurance Agency, involved in property & casualty and life insurance sales, dedicating about three-quarters of his time during trading periods and about a quarter of his time during non-trading periods. Barry also owns Merrimack Financial, where he sells life insurance and annuities, dedicating about two-thirds of his time during trading periods and about a quarter of his time during non-trading periods.

Employment History
Current Registrations
The Fiduciary Alliance
March 2021 - Present · 5 yrs 7 mos
Previous Registrations
First Financial Advisors, LLC
May 2007 - March 2021 · 13 yrs 10 mos
Workman Securities Corporation
May 2007 - May 2007 · 0 mos
State Registrations1 state
MA
Advisor

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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