Mutual Fund Surcharges

Surcharges do not apply to:

Exchanges between funds within the same fund families

Systematic Investment to buy or sell positions on a recurring basis

Trading in Unified Managed Accounts

Trading in Investment Management and Research managed accounts

Surcharges do apply to:

Contributions to Workplace Retirement Solutions 403(b) and 457(b) 

Why do Custodians and Broker/Dealers apply surcharges?

Our first priority is helping you take care of yourself and your family. We want to learn more about your personal situation, identify your dreams and goals, and understand your tolerance for risk. Long-term relationships that encourage open and honest communication have been the cornerstone of my foundation of success.