Dianne Shumway
Dianne Shumway is a registered investment advisor at Secure Investment Management, LLC, based in Rancho Palos Verdes, CA, with 5 years of industry experience. Dianne operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 825 clients with $38M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Secure Investment Management's annual investment management fee is negotiable and ranges from 0.5% to 1.5% of the total value of your investments. The fee is calculated each quarter based on the value of your account on the last business day of the previous quarter. Some legacy clients may have a fee structure ranging from 0.50% to 2.00%. Clients engaged on or after 03/01/2022 are charged a flat fee of no greater than 1.50%.
Location
Rancho Palos Verdes, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Dianne is an insurance broker selling life, disability, long-term care, fixed annuities, and health insurance products, dedicating about 10-20% of her time to this. She is also a managing member/owner of Move Forward Capital, providing divorce financial consulting, which takes a few hours per week.
Employment History
Current Registrations
Secure Investment Management, LLC
Previous Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
State Registrations4 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.