Thomas Mincy
Thomas Mincy is a registered investment advisor at Ausdal Financial Partners, INC., based in Indianapolis, IN, with 18 years of industry experience. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 10,402 clients with $2.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ausdal Financial Partners offers several investment management programs. Fees vary depending on the program and custodian.
Advisor Managed Account (AMP): Fees are negotiated with your advisor, with a maximum annual fee of 3%. Wrap accounts include all transaction costs, while non-wrap accounts charge separately for advisory services and transactions.
Third Party Managed Accounts (SMA/UMA): Fees consist of an Investment Advisor Representative Fee, a Platform Fee (0.11% to 0.28%), and a Manager Fee (0% to 0.80%).
Retirement Plan Advisory Program: Maximum annual fee of 3%. Fees can be a fixed percentage or tiered based on account assets.
Held Away Accounts (Pontera): Maximum advisory fee of 1.5% of account assets. Fees must be deducted from an alternate advisory account or billed directly to the client.
Location
Indianapolis, IN
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Regulatory History (1)
Customer Dispute
August 2018Other Business ActivitiesSells Insurance
Thomas is an insurance agent since December 2017 through Silver Birch Capital Advisors, earning commissions. He dedicates minimal time to this activity.
Employment History
Current Registrations
Ausdal Financial Partners, INC.Broker
Ausdal Financial Partners, INC.
Previous Registrations
Indiana Merchant Banking and Brokerage CO., INC.Broker
Imbb Investment Advisors
Ameriprise Financial Services, INC.Broker
Ameriprise Financial Services, INC.
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
State Registrations6 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.