Heath Slain
Heath Slain is a registered investment advisor at Berthel Fisher & Company Financial Services, INC., based in Upland, IN, with 8 years of industry experience. Their practice areas include Financial Planning & Coaching, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 2,942 clients with $800M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Berthel Fisher offers asset management services through various platforms. Fees are based on the amount of assets managed and are negotiable, with a maximum of 2.5% annually. Fees may be charged in advance or arrears, monthly or quarterly. Clients may incur additional charges from third parties, such as mutual fund expenses and IRA fees. Berthel Fisher prohibits purchases of 12b-1 fee-paying share classes in managed accounts. Clients should discuss the costs and benefits of each platform with their advisor to select the most suitable option.
Location
69 Hope Dr, Apt B, Upland, IN, 46989
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Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Heath is a co-owner of Upland Liquor, LLC, a manager at Ivanhoe's restaurant, and a financial professional and insurance agent under Aurem Asset Management. He also serves as a councilman for the Town of Upland, IN.
Employment History
Current Registrations
Berthel, Fisher & Company Financial Services, INC.
Bfc Planning, INC.
Berthel, Fisher & Company Financial Services, INC.Broker
Previous Registrations
Cuso Financial Services, L.P.
Cuso Financial Services, L.P.Broker
Cetera Advisor Networks LLC
Cetera Advisor Networks LLCBroker
State Registrations4 states
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