DS
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Diane Spencer is a registered investment advisor at Egi Financial, INC., based in Akron, OH, with 49 years of industry experience. Diane operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 292 clients with $350M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9 advisors
Number of Clients
292 clients
Average Client Portfolio
$1.2M average
Assets Under Management
$348.7M
Fee Structure
Minimum Investment:$250K
Investment management only (planning not offered)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.25% |
| $500K - $1.5M | 1.10% |
| $1.5M - $3.0M | 0.95% |
| $3M+ | 0.80% |
Money Management fees are negotiable dependent upon investment strategy and requirements, potential future asset additions and other relationship issues.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
50 S Main St, Suite 1210, Akron, OH, 44308
Get directionsHistory
Regulatory History (1)
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Customer Dispute
December 1987Award / Judgment
Employment History
Current Registrations
Egi Financial, INC.
June 2021 - Present · 4 yrs 11 mos
American Heritage Securities, INC.Broker
January 2018 - Present · 8 yrs 4 mos
Previous Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
March 2009 - January 2018 · 8 yrs 10 mos
Stifel, Nicolaus & Company, Incorporated
March 2009 - January 2018 · 8 yrs 10 mos
Butler, Wick & CO., INC.
January 2007 - March 2009 · 2 yrs 2 mos
Butler, Wick & CO., INC.Broker
January 2007 - March 2009 · 2 yrs 2 mos
Wachovia Securities, LLC
May 2003 - January 2007 · 3 yrs 8 mos
Wachovia Securities, LLCBroker
June 2001 - January 2007 · 5 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - June 2001 · 22 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
November 1975 - September 1978 · 2 yrs 10 mos
State Registrations2 states
FLOH
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.