Booth Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$39,629,767
This total excludes 3 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
40
33% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
40
HighAverage account size
$990,744
About
Booth Financial is a solo independent registered investment adviser managing roughly $43 million for about 40 clients. The firm provides tailored investment management, comprehensive financial planning, and business-related consulting to individuals as well as charitable organizations and corporate or other business clients.
The firm’s investment process centers on strategic asset allocation implemented primarily with passive index funds and ETFs, building portfolios to align with each client’s investment policy statement and risk tolerance. Most accounts are managed on a discretionary basis with periodic reviews, and the firm may engage third‑party or outside managers for portions of client assets.
Compared with many single‑advisor independents, Booth Financial’s client mix includes charitable organizations and corporate/business clients and the firm conducts educational seminars and workshops on an as‑announced basis. The principal also performs contract tax‑preparation work and the firm offers business planning and employee‑benefits optimization services alongside its investment and planning offerings.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
General retirement planning
Retirement income strategy
Cash flow / budgeting
Debt management
Fee options
Fixed fees for Project Planning ranging from $500 to $5,000, negotiable, billed as agreed, not more than $500 billed more than 6 months in advance.
$0 - $500,000: 1.50% $500,001 - $2,000,000: 0.75% $2,000,001 - $5,000,000: 0.50% $5,000,001 - $10,000,000: 0.25% $10,000,001+: 0.10%
Main office location
Booth Financial
2271 Valleydale Rd., Suite 305
Birmingham AL 35244, United States
Number of offices
1
Most active in
Booth Financial has reported serving >5 clients in these states in the last 12 months.
Alabama · Louisiana
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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