Financial Design & Management, Inc. (Fort Collins)

Name: Financial Design & Management, Inc.
Address: 4645 Ziegler Road, Fort Collins, CO, 80528
Telephone: 970-490-2033

Financial Design & Management, Inc. is a large advisory firm based in Fort Collins. It manages $176.12 million of regulatory assets for 613 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Arkansas, California, Colorado, and 3 other states.

Financial Design & Management provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Financial Design & Management: assets under management

The assets under management (AUM) of Financial Design & Management, Inc. is $176.12 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 292% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $176.12 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $287.31 thousand each.

Financial Design & Management has custody of $176.12 million in cash and securities for 461 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 67% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 19% of the firm’s portfolio. Investments in pooled investment vehicles form 13% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Financial Design & Management, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Financial Design & Management serves?

The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Financial Design & Management is individuals with 366 clients and $96.83 million of assets under management. Among the 9 most similar advisory firms, Financial Design & Management has the 3rd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $176.12 million for 461 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Financial Design & Management doesn't advise any private funds.

Careers at Financial Design & Management, Inc.

The company employs 7 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Mark Lewis Kornblau	President, chief investment officer & chief compliance officer	1 Sep 1988	75% - 100%	1085912
Donna N Kornblau	Secretary/treasurer	1 Sep 1988	Other	4994901

Based in Fort Collins

The principal office where Financial Design & Management, Inc. performs its advisory services is located at 4645 Ziegler Road, Fort Collins, CO 80528, which is also the mailing address of the firm. An additional office of the firm is in Foxfield, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 970-490-2033. The normal business hours are 9-5 on Monday - Friday. You can find more information about the New York firm at g5financialgroup.com.