Independent Registered Investment Advisers are professional advisory firms that provide personalized financial advice to their clients. Because these advisors are independent, they are not tied to any particular family of funds or investment products. As fiduciaries, they are legally and ethically required to act in the best interests of their clients at all times. They are registered with either the Securities and Exchange Commission (SEC) or state securities regulators. Heiser Investment Advisers is registered with the Texas State Securities Board (TSSB).

A fiduciary is a professional entrusted to manage assets or wealth while putting the client’s best interests first at all times. Financial advisors who follow a fiduciary standard must disclose any conflict or potential conflict to their clients prior to and throughout the advisory engagement. Fiduciaries also adopt a code of ethics and fully disclose how they are compensated.

A combination of independence, service, and client focus sets us apart. As an independent Registered Investment Advisor, we provide the best advice for each client’s specific situation and needs without concerning ourselves with the agenda of a parent company. Our service focuses on investment management; we can help you with your taxable accounts, IRAs, rollover retirement accounts, UGMA/UTMA, trusts and more. We will provide you with the attention and service you deserve.

In our advisory role, we never take custody of client funds or assets. Interactive Brokers is our primary broker and custodian of client accounts. Our relationship with Interactive Brokers is an arm’s length transaction with no exchange of funds between Interactive Brokers and us. When your account is established with Interactive Brokers, you provide us with a limited power of attorney, which authorizes us to make trades in your account.

We will start with a ‘get to know you’ meeting, either virtual or in person, so that we can assess your needs and determine if we would be a good fit for your requirements. If we come to an agreement, then we will set up an account for you at Interactive Brokers. We will need a copy of your most recent account statement(s) to transfer your assets into your new account.