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 Six 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 Charles Schwab:Schwab Alliance Login Page
The long awaited Charles Schwab and TD Ameritrade merger was completed over Labor Day Weekend and went live September 5, 2023. Follow the link to learn more:Schwab Client Learning Center
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 our Financial Professionals. 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 1992, 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 a diversified Institutional-Style, Multi-Asset Class and Multi-Manager approach, we seek to push the boundaries of asset allocation using Traditional Asset Classes with the flexibility to include 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 exclusively in Exchange Traded Funds (ETFs) to benefit account holders with lower expenses and greater tax-efficiency.
For additional Account Information: Wealth Asset Management Account (WAM)
| Managed Account Strategic Tactical Account (STA) Capital Growth Strategic Asset Balanced Total Return Capital Guardian PLUS Capital Guardian | Risk-Based Objective Aggressive Moderate-Aggressive Moderate-Balanced Conservative-Growth Conservative PLUS Conservative | Target Allocation 100% Stocks 80% Stocks / 20% Bonds 60% Stocks / 40% Bonds 40% Stocks / 60% Bonds 20% Stocks / 80% Bonds 100% Bonds |
WAM Strategic Tactical Account (STA) |
WAM Capital Growth |
WAM Strategic Asset Balanced |
WAM Total Return |
WAM Capital Guardian Plus |
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 a diversified Institutional-style, Multi-Asset Class and Multi-Manager approach. Across all eSAM managed account objectives, we invest exclusively Exchange Traded Funds (ETFs) to benefit account holders with lower expenses and greater tax-efficiency. The "e" in eSAM stands for ETF.
For additional Account Information: Strategic Asset Management Account (eSAM)
Managed Account | Risk-Based Objective | Target Allocation |
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, ETFs 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, etc.) 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 account value, allocations, and transactions by logging into their account(s) custodied at Charles Schwab and using our Client Portal feature on our website. Select Schwab Alliance. - Updated monthly statements
Managed account investors receive monthly statements from Charles Schwab, which detail month end balance, holdings and any portfolio changes during the month. - Annual year-end tax information
Charles Schwab 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 Account opportunities, please contact one of our Financial Professionals at 800-345-7593, Email Us or Ask a Question. Please specify Managed Accounts.