Introduction

Form CRS (Client Relationship Summary)

January 01, 2022

 

Neuenschwander Asset Management, LLC is registered with the Securities and Exchange Commission as an investment adviser. Fees for brokerage and investment advisory services differ among broker-dealers and investment advisers and it is important that you understand the differences. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.

 

What investment services and advice can you provide me?

We offer wealth management services to retail investors, which include financial planning and portfolio management services. We provide periodic advice and reviews regarding your investment goals and objectives, personal balance sheet, tax planning, risk management, retirement, education, cash flow and investment planning. In our portfolio management, we will continuously monitor your investment accounts over which you provide us with such authority and provide advice. In your wealth advisory agreement with us, you have the option to either give us discretion to determine the investments to buy and sell or you may retain discretion and make the ultimate decision regarding the investments we purchase or sell on your behalf. You may impose reasonable restrictions on any discretionary authority you provide, which must be provided to us in writing and accepted by us. We require a minimum initial and ongoing account size for wealth management services, including the management of your portfolio. Our investment advice is not limited to proprietary products or to a limited menu of products or types of investments.

 

Ask us questions to help you better understand our services: Given my financial situation, should I choose an investment advisory service? Why or why not? How will you choose investments to recommend to me? What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?

 

Please refer to our Form ADV Part 2A, particularly Items 4 and 8, for more detailed information about our services.

 

What fees will I pay?

We charge a percentage of assets under management for wealth management services. These fees are assessed on a quarterly basis, in advance or in arrears. You should be aware that the more assets there are in your account, the more

you will pay in fees. This means we have an incentive to encourage you to increase the assets in your account. In addition to our fees, you will incur additional fees and costs related to the investments in your account, as applicable, such as custodian fees, account maintenance fees, transaction costs, surrender charges, wire transfer and electronic fund fees, internal management fees of mutual funds and variable annuities, and other product related fees such as redemption fees.

 

Ask us questions to help you better understand the impact of fees and costs on investments: Help me understand how these fees and costs might affect my investments? If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?

 

You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.

 

Please refer to our Form ADV Part 2A, particularly Item 5, for more detailed information about our fees and your investment costs.

 

What are your legal obligations to me when acting as my investment adviser? How else does your firm make money and what conflicts of interest do you have?

When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. Our financial professionals receive a salary and receive a discretionary bonus based on the success of the firm. This is a conflict of interest because it creates an incentive for our financial professionals to recommend our investment advisory services to you. Our financial professionals review each new client relationship to assure the relationship is the best fit for the client; which serves their financial needs and goals, while accounting for fees.

 

We are fiduciaries to you. That means we are required to act in your best interest throughout our entire advisory relationship.

 

Ask us questions to help you better understand our conflicts of interest: How might your conflicts of interest affect me, and how will you address them?

 

Please refer to our Form ADV Part 2A, particularly Items 10, 11, 12 and 14 for more detailed information about our conflicts of interest.

 

How do your financial professionals make money?

Our financial professionals receive a salary and receive a discretionary bonus based on the success of the firm. This is a conflict of interest because our financial professionals have an incentive to encourage a retail investor to increase the assets in a retail investor’s accounts. This is a conflict of interest because it creates an incentive for our financial professionals to recommend our investment advisory services to you.

 

Do you or your financial professionals have legal or disciplinary history?

No, our firm or financial professionals do not have any legal or disciplinary history. Please visit Investor.gov/CRS for a free and simple search tool to research our firm and your financial professional.

 

Ask us questions to help you better understand our disciplinary history: As a financial professional, do you have any disciplinary history? For what type of conduct?

 

Additional Information

You can find additional information about our services in our Form ADV Part 2A. Also, there is additional information about our firm’s investment advisory services on the SEC’s website at www.adviserinfo.sec.gov by searching

CRD #125179. You may request updated information and a copy of our Form CRS Relationship Summary by contacting us at (608) 838-3330 or jim@namadvisors.com.

 

Ask us questions to help you better understand who to contact with any questions or complaints: Who is my primary contact person? Is he or she a representative of an investment adviser or a broker-dealer? Who can I talk to if I have concerns about how this person is treating me?

 

Our TAMP (Turnkey Asset Management Provider) Buckingham Strategic Partners’ Form CRS Relationship Summary may be requested by contacting us at the same phone number and email listed above.