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NSI Managed Accounts

For investors seeking Professional Investment Management, Nelson Securities' Registered Investment Advisor (RIA) arm Wealth Asset Managers offers Two Distinct Fee-Based Managed Account Programs:  Wealth Asset Management Account (WAM) and Strategic Asset Management Account (eSAM), with each featuring Five Risk-Based Management Styles described below. Depending on your risk tolerance and investment time horizon, we are confident you will find one of (or a combination of) our Managed Account Programs suitable to help meet your investment objectives with confidence. 

Each investor completes a Confidential Investor Profile that includes a Questionnaire to help determine risk tolerance and corresponding suitable Managed Account Objective. We pride ourselves on outstanding client service and every account is assigned a Registered Investment Advisor Representative to field questions, have regular reviews and provide personalized service. Communications are sent to all clients that detail market activity and investment strategies currently being implemented as well as recent changes.

All of our Managed Accounts are Custodied at TD Ameritrade Institutional


Why Choose a Managed Account?

Management fees are based on the Assets Under Management (AUM), rather than commission, and varies for each Managed Account Objective as stated in the Investment Management Agreement and billed monthly to the account. Therefore, we are paid to manage your investment portfolio not simply invest it. This puts the investor and NSI on the same side of the fence, with the same goals of growing and/or protecting your assets on a daily basis and over the long-term as per the Managed Account Objective. As a Fiduciary, NSI makes prudent investment decisions that are only in the best interest of our Managed Account clients.

Some Professional Investment Managers require as much as $500,000 to even get in the door, leaving most investors out in the cold. Nelson Securities founded its RIA in 1992 with the belief that Professional Investment Management should be available to virtually all investors. With entry levels as low as $5,000, as noted below, most investors now have access to Professional Investment Management through Nelson Securities to help reach their financial goals.

If you are interested in additional information on Fees and Expenses associated with Nelson Securities' Managed Account Programs please call 800-345-7593 to speak to one of our Investment Advisor Representatives. All Managed Account Clients are required to sign an Investment Management Agreement and Disclosure. Form ADV is available upon request.  

Investing in the global capital markets, which entails risk, Professional Investment Management does not ensure a profit nor prevent losses.


Wealth Asset Management Account (WAM)
Minimum Investment: $25,000

Founded in 1995, our Wealth Asset Management Account (WAM) is our Flagship Managed Account Program, available to investors with a Minimum Investment of $25,000. The foundation of our investment policy is built on the fundamentals of Asset Allocation, Modern Portfolio Theory and a long-term view of the investment process. The goal of each Managed Account Objective, using proprietary research, methods and strategies, is to maximize reward earned versus risk taken to meet its objective. Employing an Institutional-Style, Multi-Asset Class and Multi-Manager approach, we seek to push the boundaries of asset allocation using Traditional and Alternative asset classes, as well as Passive and Active Investment Management Strategies. The flexibility to include Alternative Assets adds a modern element to traditional portfolio structure and asset allocation. For each Objective, we invest predominantly in Open-ended No-Load Mutual Funds and Institutional Shares whenever possible to benefit account holders with lower expenses.

For additional Account Information: Wealth Asset Management Account (WAM)

Managed Account
Sector Trading Account (STA)
Capital Growth
Strategic Asset Balanced
Total Return
Capital Guardian

Risk-Based Objective
Aggressive
Moderate-Aggressive
Moderate-Balanced
Conservative-Growth
Conservative
Target Allocation
100% Stocks (85% Core/15% Sector)
80% Stocks / 20% Bonds
60% Stocks / 40% Bonds
40% Stocks / 60% Bonds
100% Bonds


WAM Sector Trading Account (STA)

WAM Capital Growth

WAM Total Return

WAM Strategic Asset Balanced

WAM Capital Guardian


Strategic Asset Management Account (eSAM)
Minimum Investment: $5,000

Founded in 2016, our Strategic Asset Management Account (eSAM) is based off our Flagship WAM Managed Account Program and provides access to Professional Investment Management for investors with a Minimum Investment of $5,000. Professional Investment Management at $5,000 is a break-through by industry standards. The foundation of our investment policy is built on the fundamentals of Asset Allocation, Modern Portfolio Theory and a long-term view of the investment process. The goal of each eSAM Managed Account Objective, using proprietary research, methods and strategies, is to maximize reward earned versus risk taken employing an Institutional-style, Multi-Asset Class and Multi-Manager approach. Across all eSAM managed account objectives, we invest predominantly in Index-based No Transaction Fee (NTF) Exchange Traded Funds (ETFs) to benefit account holders with lower expenses. The "e" in eSAM stands for ETF. No Transaction Fee (NTF) Mutual Funds may be considered.

For additional Account Information: Strategic Asset Management Account (eSAM)

Managed Account
eSAM Aggressive
eSAM Moderate-Aggressive
eSAM Moderate
eSAM Conservative
eSAM Capital Foundation

Risk-Based Objective
Aggressive
Moderate-Aggressive
Moderate-Balanced
Conservative-Growth
Conservative

Target Allocation
100% Stocks
80% Stocks / 20% Bonds
60% Stocks / 40% Bonds
40% Stocks / 60% Bonds
100% Bonds


eSAM Aggressive


eSAM Moderate-Aggressive


eSAM Moderate

eSAM Conservative



eSAM Capital Foundation

Not FDIC/NCUA Insured, May Lose Value, No Bank Guarantee, Not a Deposit, Not Insured by any Federal Agency

*Investing in small- and medium-sized companies, international (developed and emerging market) equity and debt securities, high yield securities, funds that invest in a specific sector, currencies, commodities, Real Estate Investment Trusts (REITs), as well as those that offer hedging capability (arbitrage, market neutral, long-short, inverse funds) may increase risk and volatility in each managed account style, respectfully. There are risks associated with bond investments as well, including interest rate risk, credit risk and inflation risk; bond prices and interest rate changes have an inverse relationship (as interest rates rise, bond prices fall and vice versa).

Additional Managed Account Information:

  • View account balances online 
    Clients can view their prior day’s account value by logging into their account(s) custodied at TD Ameritrade Institutional by using our Account Access feature on our web site.
  • Updated monthly statements
    Managed account investors receive monthly statements from TD Ameritrade Institutional, which detail month end balance, holdings and any portfolio changes during the month. 
  • Annual year-end tax information 
    TD Ameritrade Institutional provides managed account investors with important tax information to assist in tax preparation (example: 1099s).
  • Taxable and Retirement Accounts available
    All WAM and eSAM account types are available as Taxable Accounts (Individual, Joint Tenant, Custodial (college savings), Trust Accounts, etc.) and Retirement Accounts (Traditional IRAs, Roth IRAs, SEP-IRAs, Pension & Profit Sharing Plans, SIMPLE IRAs, 401(k)s, etc.).

If you are interested in being contacted by Nelson Securities, Inc. regarding Managed Mutual Fund Account opportunities, please contact one of our Registered Representatives at 800-345-7593, Email Us or Ask a Question.   Please specify Managed Accounts.