Firm Background & Ownership

When was the firm founded? 

What is the firm's organizational structure? 

What is the firm's ownership structure? 

What is the firm's stated mission?

Is the firm registered under the 1940 Act of the Securities and Exchange Commission? 



Financial planning

Wealth transfer planning

Foundation and philanthropic planning

Investment management

Tax planning and tax compliance

Bill paying and cashflow management

What are your areas of greatest strength when providing wealth advisory services?

What aspects of your business distinguish you from your competitors?

Do you work with outside investment consultants to enhance your research?


Client Relationships

How many family relationships does your wealth advisory business have?

What is the distribution of clients by type (business owners, wealth owners, wealth inheritors, foundation, etc)?


Pricing and Fees

Do you have a published fee schedule?

Is there a minimum account size or minimum fee required?

How does the fee structure differ for different client types?

Do you offer any performance-based fees as an alternative to basis points?  


Securities offered through National Securities Corporation (NSC), Member FINRA/SIPC. Advisory Services offered through National Asset Management, Inc. (NAM) a Registered Investment Advisor with the SEC and affiliate of National Securities Corp. Insurance products offered through National Insurance Corporation (NIC). Hyperion Wealth Advisors is not affiliated NSC, NAM, or NIC.

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