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Richard Moss

National Wealth Management Group, LLC
24 Years of Experience
Indianapolis, IN
Broker
View SEC Summary
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Richard Moss is a registered investment advisor at National Wealth Management Group, LLC, based in Indianapolis, IN, with 24 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Divorce Planning, and 9 more. Their firm serves 1,314 clients with $530M in assets under management.

National Wealth Management Group, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
17 advisors
Number of Clients
1,314 clients
Average Client Portfolio
$407K average
Assets Under Management
$534.9M

Fee Structure

Minimum Investment:$15K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual advisory fee is 2.25%. Fees are negotiable based on account size, complexity, and overall relationship.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

9165 Otis Avenue, Suite 243, Indianapolis, IN, 46216

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Richard operates under the DBA Synergy 360 for his LPL business and provides investment advisory services through National Wealth Management Group, LLC, spending about half his time on the latter. He also has outside employment with Artistic Enterprises and Damar Services Inc, dedicating minimal time to the former and about a quarter of his time to the latter.

Employment History
Current Registrations
National Wealth Management Group, LLC
January 2022 - Present · 4 yrs 9 mos
LPL Financial LLCBroker
December 2011 - Present · 14 yrs 10 mos
Previous Registrations
National Wealth Management Group, LLC
September 2020 - December 2021 · 1 yr 3 mos
LPL Financial LLC
December 2011 - January 2021 · 9 yrs 1 mo
PNC InvestmentsBroker
December 2009 - December 2011 · 2 yrs
PNC Investments
December 2009 - December 2011 · 2 yrs
Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 2008 - December 2009 · 1 yr 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2008 - December 2009 · 1 yr 8 mos
Sbk-Brooks Investment CORP.Broker
February 2008 - April 2008 · 2 mos
Andes Capital Group, LLCBroker
January 2007 - January 2008 · 1 yr
Chicago Investment Group, LLCBroker
October 2006 - January 2007 · 3 mos
Edward JonesBroker
May 2001 - May 2006 · 5 yrs
State Registrations11 states
CAFLGAILINKYNCOHTNTXWI
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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