D
DBA Joseph Fodera
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
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
0
Very LowAverage account size
—
About
Fodera Investments, Inc. provides investment advisory services to individual clients, including managed account oversight and separate consultation services. The firm reports a small amount of client assets under management and states that managed accounts are handled on a non-discretionary basis with clients able to impose investment restrictions.
Investment decisions are based on fundamental company research and a stated conservative, non-speculative orientation, and accounts are reviewed quarterly to confirm alignment with client risk tolerance and objectives. The firm notes it will assume limited discretionary authority only when a client is unavailable and a change is deemed necessary, and it does not act as custodian of client assets.
What is distinctive is the firm’s limited scale and the principal’s primary business focus outside of advisory services — approximately 80% of his time is spent in real estate development while advisory work uses the remaining 20%. The firm also bills and collects advisory fees directly rather than deducting them from client accounts, prefers Charles Schwab as its recommended custodian without receiving referral compensation, and does not charge performance-based fees.
Client services
Financial planning
Portfolio management
Expertise
Real estate investing
Fee options
$0 - $10,000: $150 fixed annual fee $10,000+: 1.5% of assets per year
$150 per hour for advisory consultation services
Minimum fee: $150 fixed annual fee for accounts under $10,000
Main office location
DBA Joseph Fodera
Lynnfield MA, United States
Number of offices
1
Most active in
DBA Joseph Fodera has reported serving >5 clients in these states in the last 12 months.
Massachusetts
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.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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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.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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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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