Appendix C Part 2 of Form ADV
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|Tiedemann & Associates |
|Investment Advisors, Inc. |
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|560 North Avenue |
|Weston, MA 02493 |
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|24204 Euphoria Dr |
|Venice, FL 34293 |
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|Phone: 781-235-1099 FAX: 781-790-1274 |
|htcpa@ |
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|This brochure provides information about the qualifications and business practices of Tiedemann & Associates Investment Advisors, Inc. If you|
|have any questions about the contents of this brochure, please contact us at 781-235-1099. The information in this brochure has not been |
|approved or verified by the United States Securities and Exchange Commission or by any state securities authority. |
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|Additional information about Tiedemann & Associates Investment Advisors, Inc. is also available on the SEC’s website at |
|adviserinfo.. |
|Dated: January 16, 2020 |
|Material changes made since the last annual update of this brochure on February 12, 2019 are listed below. |
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|No material changes were made |
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|Table of Contents |
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|Advisory Business …………………………………………………………………….……………….1 |
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|Fees and Compensation ……………………………………………………………….………………2 |
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|Performance-Based Fees and Side-By-Side Management …………………………...…………2 |
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|Types of Clients …………………………………………………………………………….…………..2 |
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|Methods of Analysis, Investment Strategies and Risk of Loss ………………………….…….2 |
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|Disciplinary Information ………………………………………………...……………………….……3 |
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|Other Financial Industry Activities and Affiliations ……………………………………….……..3 |
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|Code of Ethics, Participation or Interest in Client Transactions and Personal Trading .….3 |
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|Brokerage Practice …………………………………………………………………….……………….3 |
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|Review of Accounts …………………………………………………………………….………………3 |
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|Client Referrals and Other Compensation ………………………………………….………………3 |
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|Custody of Assets ……………………………………………………………………….……….…..…3 |
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|Investment Discretion ………………………………………………………………………………….4 |
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|Voting Client Securities ………………………………………………………………………………..4 |
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|Financial Information ………………………………………………………………………..…………4 |
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|Requirements for State-Registered Advisers ……………………………………………………...4 |
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|ADVISORY BUSINESS |
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|Tiedemann & Associates Investment Advisors, Inc. provides investment advisory services for clients pursuant to an agreement under which each |
|client is advised, in the Company’s best judgment, as to investment strategies and suitability, asset allocation and portfolio diversification|
|management. We have been in business since 2002. The President of the company is Henry A. Tiedemann III, CPA, MST. |
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|We provide investment advisory and management services. |
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|The client’s financial objectives, risk tolerance and profile, and investment strategies are measured, determined and agreed upon through a |
|lengthy interview process and completion of an in-depth risk and investment profile questionnaire. Clients may impose restrictions on |
|investing in certain securities or types of securities at any time. |
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|TAIA establishes a comprehensive investment plan, determines asset suitability and recommends an asset allocation and investment strategy, |
|consistent with the client’s risk and investment profile. TAIA’s structured approach to providing investment advisory services includes |
|comprehensive planning and consulting to evaluate securities, taxes, insurance, estate planning, business planning, retirement planning, |
|benefits planning, education funding and personal investment and financial planning. A written in-depth financial plan may be presented to |
|the client to demonstrate their current situation, their goals, and investment objectives. |
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|Financial planning activities include the formulation, implementation and monitoring decisions that enable an individual or family to achieve |
|financial goals. It involves managing financial risks through cost benefit analysis. |
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|TAIA manages accounts in three manners depending on the client’s needs. |
|Hourly fees – We will charge on an hourly basis for investment review and advise for those clients who do not wish to have a management type |
|of relationship. |
|Non-discretionary management – We manage some client accounts on a non-discretionary basis. Currently we have $0* in assets on a |
|non-discretionary basis. |
|Discretionary Management – Currently, we have $31,666,800* under discretionary management. |
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|* Dollar values as of 1/2/2020 |
|FEES AND COMPENSATION |
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|As a general rule, TAIA charges an annual investment advisory fee based on a percentage of assets under management. The fee is paid |
|quarterly, based on the market value of assets under management on the last day of the previous quarter. Due to certain variables, |
|relationships and the amount of assets under management the fee structure may vary and certain clients may pay a fee lower than others. The |
|applicant may also provide consulting services for an agreed upon fee based upon an hourly rate. Fees for such services may be a fixed amount|
|based upon the anticipated time and complexity of the matter and agreed upon with the client. Such rates may vary depending on the nature and |
|complexity of the matter. All fees are disclosed to the client. The TAIA may also at times recommend fixed insurance products and may |
|receive a commission if the insurance is purchased. Either party may terminate an investment advisory agreement at any time by giving a 30 |
|days written notice to the other party, in which case all fees will be pro-rated. |
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|Fee charges will range between 0.50% and 1.0% per year. |
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|Fees will be deducted from a client’s assets or TAIA may bill a client for services depending on the agreement with the client. Hourly fees |
|are billed monthly as they are incurred. Clients may incur transactions fees for sale/purchase of brokerage instruments as charged by |
|clearing broker, Fidelity Investments, or other clearinghouse. |
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|All management fees are paid in advance. If a client terminates services in the middle of a quarter, fee refunds will be pro-rated and will |
|be returned within 60 days of the termination notice. |
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|PERFORMANCE-BASED FEES AND SIDE-BY-SIDE MANAGEMENT |
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|We do not accept performance-based fees or side-by-side management. |
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|TYPES OF CLIENTS |
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|TAIA provides investment advisory services to individuals, pension and profit sharing plans and to charitable organizations. |
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|METHODS OF ANALYSIS, INVESTMENT STRATEGIES AND RISK OF LOSS |
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|The recommended asset allocation and portfolio recommendations are implemented through the investment of cash, debt instruments, securities |
|and/or transfer of funds to independent managers or independent investment companies. Performance of the portfolio including the activities |
|of any independent managers or entities are closely monitored to ensure that the investment strategies and philosophies of the client’s |
|investment plan remains consistent with stated objectives of their specific investments. |
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|DISCIPLINARY INFORMATION |
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|At this time there are no legal or disciplinary events that are material to the evaluation of TAIA or management. |
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|OTHER FINANCIAL INDUSTRY ACTIVITIES AND AFFILIATIONS |
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|Henry A Tiedemann III is the President and founding shareholder of Tiedemann & Associates, PC, where he provides accounting and tax services. |
|He spends 65% of his time at Tiedemann & Associates, PC. |
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|TAIA has relationships that are material to its advisory business with the following: |
|Broker/Dealers: We may have a relationship with a broker/dealer such as Fidelity Investments and other similar companies to offer its |
|services and effective trades. |
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|CODE OF ETHICS, PARTICIPATION OR INTEREST IN CLIENT TRANSACTIONS AND PERSONAL TRADING |
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|On occasion, we buy or sell securities at the same time as our client accounts and always the same type of trade - buy or sell. Trades are |
|sometimes made as block trades on identical terms. We do not execute trades for our personal accounts ahead of trades for client accounts. |
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|BROKERAGE PRACTICES |
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|No research or other soft dollar benefits or payments for client referrals are made. For certain non-discretionary accounts we seek client |
|approval before executing trades. |
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|REVIEW OF ACCOUNTS |
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|Formal account reviews are done each quarter by the president of TAIA. Performance is reviewed continuously. Quarterly reports to clients |
|include Morningstar Performance and Snapshot Reports as well as Morningstar Market Commentary. |
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|CLIENT REFFERALS AND OTHER COMPENSATION |
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|No payment or other benefits are provided for client referrals. |
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|CUSTODY OF CLIENT ASSETS |
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|We do not have custody of our clients’ assets. |
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|INVESTMENT DISCRETION |
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|Certain of our clients are under Discretionary authority to manage securities on their behalf. TAIA agrees to limit Client's securities |
|transactions (i.e., buying and selling financial products) solely to those transactions which are appropriate for implementing Client's |
|written Investment Policy Statement. Client understands TAIA will execute trades without prior consultation with Client. Clients sign a |
|Discretionary Management Agreement with a power of attorney clause. |
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|VOTING CLIENT SECURITIES |
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|TAIA does not have voting authority for its client’s securities. Clients will receive their proxies and other solicitations directly from the|
|company, custodian or transfer agent involved. Clients may contact TAIA with any questions they have on the materials they receive from |
|these sources. |
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|FINANCIAL INFORMATION |
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|No solicitations are made in advance. |
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|REQUIREMENTS FOR STATE-REGISTERED ADVISERS |
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|Henry A Tiedemann, President |
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|Practicing CPA for over 30 years, advising individuals and organizations for a variety of tax and financial matters. Educational degrees |
|include BS – Accountancy and MS – Taxation. Both degrees were earned at Bentley College, Waltham, MA. |
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