Disclosures
1. Firm Information:
Firm Information: Marquette Asset Management is a MINNEAPOLIS based investment advisor registered with the Securities and Exchange Commission under the Investment Advisers Act of 1940. The firm specializes in constructing portfolios tailored to clients' preferences, constraints and income needs. Portfolios typically include a mix of cash, fixed income and equity securities. The firm's standard fee schedule is as follows: 1.25% of the first three MILLION, 0.85% of the next two MILLION and 0.60% on the balance in excess of ten MILLION. Fees may be subject to negotiation where special circumstances warrant. Marquette Asset Management's management fees are detailed in its Form ADV Part II, which is available upon request.
2. Portfolio Modeling:
Portfolio modeling is conducted using Callan Associates Capital Market Projections and their Mean Variance Optimization Software.
3. Custody Services
Unless a client directs otherwise, Marquette Asset Management uses SEI Private Trust Company as its qualified custodian. Marquette Trust uses SEI Private Trust Company as custodian of securities held in trust and other fiduciary accounts.
4. Personal Trust Services:
Marquette Asset Management offers personal trust and other fiduciary services through its affiliate, Marquette Trust, a trust office of Meridian Bank, N.A. (Meridian). Certain Marquette Asset Management employees are also employees of Meridian. The dual capacity authorizes those employees to provide fiduciary administration services to accounts for which Meridian is corporate fiduciary and to participate in the investment management function for the same accounts.
5. Customer Identification Verification Disclosure:
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.
Therefore, when you open an account, we will ask you for your name, address, date of birth, social security number/tax identification number and other information that will allow us to identify you. We may also contact you to provide additional identifying information, such as a driver’s license, if necessary. However, to guard against electronic identity theft, we will never request or send personal identification information by e-mail.
6. Performance: Past performance is not indicative of future results and, with the exception of actual account performance, all investment performance provided is for informational purposes only. There is no representation that any investment, portfolio, or market sector will achieve the results indicated.
