Landolt Securities, Inc. is a registered investment advisor and broker-dealer that has been in business since 1989, managing assets for individuals, trusts, estates, corporations, and retirement plans. The firm offers continuous investment management on both a discretionary and non-discretionary basis, tailoring portfolios to each client's specific investment objectives and risk tolerance. In addition to managing investments directly—frequently utilizing small-cap growth stocks and fundamental analysis—Landolt Securities provides access to third-party asset management programs (TAMPs) where external strategists manage portfolios. Clients typically establish custodial and brokerage accounts with RBC Capital Markets, the firm's clearing firm. Alongside advisory services, Landolt Securities engages in securities brokerage and insurance sales, creating potential conflicts of interest due to commission-based compensation. The firm emphasizes personalized portfolio monitoring, periodic reviews, and adherence to a strict code of ethics, while also providing specific fiduciary acknowledgements for retirement accounts.
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 2.00% |
| $1.0M - $5.0M | 1.75% |
| $5M+ | 1.50% |
Fees are negotiable and subject to a $300 minimum quarterly fee (not to exceed 3% of a client's assets under management). Fees are charged three months in advance.