Walter Auch is a registered investment advisor at Sophis Investments LLC, based in Greenwich, CT, with 39 years of industry experience. Walter operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 42 clients with $130M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Sophis Investments charges an annual management fee ranging from 1% to 2% of the value of your portfolio, depending on your investment goals. Fees are calculated and paid quarterly, based on the portfolio value on the last business day of the quarter. Some clients may be eligible to pay a performance-based fee instead of the management fee, equal to 10% to 20% of the net capital increase of the account.
Location
Greenwich, CT
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Walter is a trustee for Renaissance Capital Greenwich Funds, a mutual fund/ETF company, dedicating minimal time. He is also a managing director at Auch Partners, an executive recruiting firm for financial services, taking about a third of his time.
Employment History
Current Registrations
Sophis Investments LLC
Previous Registrations
Herbert J. Sims Capital Management, INC.
Herbert J. Sims & CO. INC.Broker
Midtown PartnersBroker
Drexel Hamilton, LLCBroker
Searle & CO.Broker
Nutmeg Securities, LTD.Broker
Fsc Securities CorporationBroker
Nutmeg Securities, LTD.Broker
Citicorp Securities Markets, INC.Broker
Painewebber IncorporatedBroker
Kidder, Peabody & CO. IncorporatedBroker
Thomson Mckinnon Securities INC.Broker
Paine, Webber, Jackson & Curtis INC.Broker
Paine, Webber, Jackson & Curtis IncorporatedBroker
State Registrations1 state
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.