R Hardy is a ChFC-designated registered investment advisor at Spc, based in Lima, OH, with 45 years of industry experience. R is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 30,916 clients with $6.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum annual advisory fee is 2.50%. Advisors set their own rates for each account up to this maximum limit. A 0.15% program fee is included within the total fee.
Fee Estimator
Location
Lima, OH
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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
R. is involved with Hardy Financial Group, Inc. selling individual and group life and health insurance, dedicating about a quarter of their time. R. also owns an office building and holds voluntary positions at Woodlawn Cemetery Association, Lima Growth Association, Inc., and Port Authority of Allen County, Ohio.
Employment History
Current Registrations
Spc
Sigma Financial Corporation
Sigma Financial CorporationBroker
Previous Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
G. R. Phelps & CO., INC.Broker
State Registrations18 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.
Exams
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