Frequently Asked Questions:

  1. What range of advisory services does Eggerss Capital Management (ECM) provide? ECM specializes in designing and maintaining personal investment portfolios that match the changing economy as well as the personal objectives of the client. In addition to active money management, ECM’s financial advisors also provide financial planning with regard to retirement, estate, tax, & education funding. Eggerss Capital Management does not offer legal or tax advice. Please consult the appropriate professional regarding your individual circumstance. ECM can assist you in finding the appropriate professional.
  2. What strategies can ECM implement in my portfolio? Whether the strategy demands the need for stocks, bonds, and other equities/securities, ECM has the expertise to determine the appropriate allocation for clients according to market conditions and the client’s financial situation. While asset allocation does not guarantee a profit or protect against a loss in a declining market, it is a method used to help manage investment risk.
  3. What types of accounts does ECM manage? Individual, Joint, IRA, Trust, Corporate, SEP-IRA, Simple IRA, Profit-Sharing, 401-K, Partnership, Rollover IRA, Roth IRA, & others.
  4. How does ECM charge clients for advisory services? ECM is a fee-only firm that does not charge commissions for advisory services (custodial transaction charges may apply). This non-commission style prevents any conflicts of interest you may have experienced with other advisors. ECM is independently owned & operated. We are a buy side firm that has no products to sell on others’ behalf.
  5. By what government agencies are ECM regulated? ECM is a Registered Investment Adviser registered with the Securities & Exchange Commission.
  6. What licenses are ECM advisers required to hold? All financial advisors with ECM hold a Series 65 license (Uniform Registered Investment Adviser Law) unless exempt.
  7. Is ECM a Fiduciary? As a Registered Investment Adviser, ECM is a fiduciary.
  8. Does ECM take custody of client assets? No. All assets held at a large discount brokerage firm such as Charles Schwab, Fidelity, or TD Ameritrade. ECM is granted trading authorization.
  9. What type of communication will I receive from ECM? ECM provides clients with in person and/or phone meetings and monthly newsletters. In addition, articles and podcasts with timely market commentary are available at www.eggersscapital.com. Lastly, ECM has a weekly podcast which can be heard on the company’s website.

114 E. Highland Boerne, Texas 78006
Office: (210) 526-0057 Fax: (210) 568-4802 Toll-Free: (888) 511-1211

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